.u.s..\?t.y°fPttsburgh

PN-PA 003-00

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IN THE UNITED STATES DISTRICT COURT FOR THE WESTERN DISTRICT OF PENNSYLVANIA

UNITED STATES OF AMERICA,

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Plaintiff,

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CITY OF PITTSBURGH, PITTSBURGH ) .. .CIVIL NO.

BUREAU OF POLICE, and DEPARTMENT)

OF PUBLIC SAFETY,

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Defendants.

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97 0354
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COMPLAINT

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The United States brings this action under 42 U.S.C." § 14141 to remedy a pattern or practice of conduct by law enforcement officers of the Pittsburgh Bureau of Police that deprives persons of rights, privileges, and immunities secured and protected by the Constitution and laws of the United States. The City of Pittsburgh, the Pittsburgh Bureau of Police, and the Department of Public Safety have engaged in a pattern or practice of subjecting individuals to uses of excessive force, false arrests, and improper searches and seizures. The defendants have tolerated this conduct through their failure to supervise, train, investigate, and discipline police officers adequately.
The United States of America alleges:

DEFENDANTS 1. The City of Pittsburgh ("City") is a municipality in the Commonwealth of Pennsylvania. 2. The Pittsburgh Bureau of Police ("Bureau" or "PBP") is a law enforcement agency operated by the City. 3. The Department of Public Safety ("DPS") is a government agency operated by the City, which oversees the Bureau and other agencies operated for the safety pf persons in Pittsburgh.
JURISDICTION AND VENUE 4. This Court has jurisdiction of this action under 28 U.S.C. §§ 1331 and 1345. 5. The United States is authorized to initiate this,action pursuant to 42 U.S.C. § 14141. 6. Venue is proper in the Western District of Pennsylvania pursuant to 28 U.S.C. § 1391, as the defendants reside in and the claim arose in the Western District of Pennsylvania.
FACTUAL ALLEGATIONS 7. From at least 1990 to the present, PBP officers have engaged and continue to engage in a pattern or practice of using excessive force against persons in Pittsburgh. This use of excessive force.includes, but is not limited to:
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a. use of excessive force in effecting arrests or detaining persons suspected of engaging in criminal activity;
b. use of excessive force against individuals in police custody (including persons handcuffed or otherwise physically restrained);
c. use of excessive force in otherwise routine encounters with citizens; and
d. use of force after unnecessarily escalating ordinary encounters with citizens into violent confrontations.
8. From at least 1990 to the present, PBP officers have engaged and continue to engage in a pattern or practice of falsely arresting persons in Pittsburgh. These false arrests include, but are not limited to:
a. falsely arresting persons who witness incidents of violent police misconduct, who threaten to report incidents of police misconduct, or who seek to collect evidence of police misconduct;
b. falsely arresting persons who try to prevent incidents of police misconduct from occurring;
c. falsely arresting persons who challenge the authority of PBP officers; and
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d. falsely arresting persons for summary offenses without warrants where such arrests are not authorized by either City ordinance or state statute.
9. From at least 1990 to the present, PBP officers have engaged and continue to engage in a pattern or practice of improperly stopping, searching, and seizing persons in Pittsburgh. These actions include, but'are not limited to:
a. improperly stopping.,and detaining persons without lawful authority;
b. improperly searching cars incident to a traffic stop without lawful authority;
c. improperly searching dwellings or places of, business without lawful authority; and
d. improperly seizing property of persons arrested by PBP officers without lawful authority for such seizures.
10. The acts or omissions of PBP officers, described in paragraphs 7-9, above, constitute a pattern or practice of such conduct by law enforcement officers.
11. The municipal defendants have tolerated the acts of individual officers, described in paragraphs 7-9, above, through its acts or omissions. These acts or omissions include, but are not limited to:
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a. failing to train adequately PBP officers to prevent the occurrence of misconduct;
b. failing to supervise adequately PBP officers to prevent the occurrence of misconduct;
c. failing to monitor adequately PBP officers who engage in or who are likely to engage in misconduct;
d. failing to investigate adequately citizen complaints of police misconduct; and
e. failing to discipline adequately PBP officers who engage in misconduct.
CAUSE OF ACTION 12. Through the actions described in paragraphs 7-11 above, the municipal defendants have engaged in and continue to engage in a pattern or practice of conduct by PBP officers that deprives persons in Pittsburgh of rights, privileges, or immunities secured and protected by the Constitution (including the Fourth and Fourteenth Amendments) or the laws of the United States in violation of 42 U.S.C. § 14141.
PRAYER FOR RELIEF 13. The Attorney General is authorized under 42 U.S.C. § 14141 to seek declaratory and equitable relief to eliminate a pattern or practice of law enforcement officer
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conduct that deprives persons of rights, privileges, or immunities secured or protected by the Constitution or laws of
the United States.
WHEREFORE, the United States prays that the Court: a. declare that the municipal defendants have engaged in a
pattern or practice by PBP officers of depriving persons of rights, privileges, or immunities secured or protected by the Constitution or laws of the United States, as described in paragraphs 7-11, above;
b. order the municipal defendants to refrain from engaging in any of the predicate acts forming the basis of the pattern or practice of conduct as described in paragraphs 7-11, above;
c. order the municipal defendants to adopt and implement policies and procedures to prevent PBP officers from depriving persons of rights, privileges, or immunities secured or protected by the Constitution or laws of the United States; and
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d. order such other appropriate relief as the interests of

justice may require.

Respectfully submitted,

JANET RENO Attorney General of the United States

FREDERICK W. THIEMAN United States Attorney Western District of
Pennsylvani a (PA ID #26507)

ISABELLEKATZPINZLER ... , Acting Assistant Attorney
General Civil Rights Division

AMY Chief, Civil Division U.S. Attorney's Office Western District of
Pennsylvani a (PA ID #36623) 633 U.S. Post Office and Courthouse 7th and Grant Streets Pittsburgh, PA 15219 (412) 644-3500

STEVEN H. ROSENBAUM

Chief

V

Special Litigation Section

Civil Rights Division

PHYLLIS COHEN ROBERT MOOSSY KEN NAKATA (PA ID #54400) Trial Attorneys U.S. Department of Justice Civil Rights Division P.O. Box 66400 Washington, D.C. 20035-6400 (202) 514-6255
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d. order such other appropriate relief as the interests of justice may require.
Respectfully submitted,
JANET RENO Attorney General of the United States

FREDERICK W. THIEMAN United States Attorney Western District of
Pennsylvania (PA ID #26507)

ISABELLE KATZ TINZLER .Acting Assistant Attorney
General Civil Rights Division

AMY Chief, Civil Division U.S. Attorney's Office Western District of
Pennsylvania (PA ID #36623) 633 U.S. Post Office and Courthouse 7th and Grant Streets Pittsburgh, PA 15219 (412) 644-3500

STEVEN H. ROSENBAUM Chief Special Litigation Section Civil Rights Division
PHYLLIS COHEN ROBERT MOOSSY KEN NAKATA (PA ID #54400) Trial Attorneys U.S. Department of Justice Civil Rights Division P.O. Box 66400 Washington, D.C. 20035-6400 (202) 514-6255
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 U.S. v. City of Pittsburgh

PN-PA-003-002

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IN THE UNITED STATES DISTRICT COURT V ^ , -, O;\\/>

FOR THE WESTERN DISTRICT OF PENNSYLVANIA

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UNITED STATES OF AMERICA,

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Plaintiff,

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97 0354

CITY OF PITTSBURGH, PITTSBURGH BUREAU OF POLICE, and DEPARTMENT OF PUBLIC SAFETY,
Defendants.

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CIVIL NO.

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CONSENT DECREE
INTRODUCTION \
1. The United States brings this action to enforce Section 210401 of the Violent Crime Control and Law Enforcement Act of 1994, 42 U.S.C. § 14141. The United States alleges that there is a pattern or practice of conduct by law enforcement officers of the Pittsburgh Bureau of Police that deprives persons of rights, privileges, and immunities secured and protected by the Constitution and laws of the United States.
2. The defendants in this action, collectively hereinafter the "City", are the City of Pittsburgh, a municipality in the Commonwealth of Pennsylvania; the Pittsburgh Bureau of Police ("PBP"), a law enforcement agency operated by the City of Pittsburgh; and the Department of Public Safety

Page 2 of 40 ("DPS"), a government agency operated by the City of Pittsburgh, which oversees the PBP and other agencies operated for the safety of persons in Pittsburgh.
3. This Court has jurisdiction of this action under 28 U.S.C. §§ 1331 and 1345. The United States is authorized to initiate this action pursuant to 42 U.S.C. § 14141. Venue is proper in the Wester.n,>District of Pennsylvania pursuant to 28 U.S.C. § 1391.'
4. The City denies any and all allegations advanced by the United States. The City acknowledges that allegations have been advanced against the City relating to the City'.s management systems for training, misconduct investigations, supervision, and discipline. The City denies such allegations, however, the parties agree that the manner and means for avoiding such claims is to achieve and maintain the best available practices and procedures for police management.
5. The parties enter into this Decree jointly and for the exclusive purpose of avoiding the risks and burdens of litigation.
6. This Consent Decree resolves all claims in the United States' Complaint under 42 U.S.C. § 14141, and resolves any

Page 3 of 40 claims the United States may have regarding a pattern or practice of racial discrimination that could have been raised at this time under 42 U.S.C. § 14141 or 42 U.S.C. § 3789d.
7. Nothing in this Consent Decree shall constitute or be construed as an acknowledgment, agreement, admission, statement or evidence of•liability of the City under 42 U.S.C. § 14141 or 42 U.S.C § 3789d, nor shall the Consent Decree constitute or be construed as an acknowledgment, agreement, admission, statement or evidence of any violation of applicable law or of the existence of a pattern or practice of conduct by law enforcement officers of the City that deprives persons of rights, privileges, and immunities secured or protected by the Constitution and laws of the United States. Nothing in this Consent Decree shall constitute or be construed as an acknowledgment, agreement, admission, statement or evidence that the management system and/or systems employed by the City prior to execution of this Consent Decree were in any manner inadequate, unconstitutional or constituted deliberate indifference of the City within any context, and in particular, within the context of 42 U.S.C. § 1983 or 42 U.S.C. § 14141. Nothing in this Consent Decree shall be construed to impair the right of any person or organization to seek relief against the City for its conduct or the conduct of its law

Page 4 of 40 enforcement officers. Nothing in this Decree is intended to alter the collective bargaining agreement between the City and the Fraternal Order of Police, Fort Pitt Lodge No. 1.
8. The City hereby reaffirms and acknowledges its obligation to discourage activity by City law enforcement officers which deprives persons of rights, privileges, and immunities secured and protected by the .Constitution and laws of the United States.
9. This Consent Decree shall constitute the entire integrated agreement of the parties. No prior or contemporaneous communications, oral or written, or prior drafts shall be \ relevant or admissible for purposes of determining the meaning of any provisions herein in any litigation or any other proceeding.
10. The City, by and through its officials, agents, employees, and successors are enjoined from and shall not engage in a pattern or practice of conduct by law enforcement officers of the PBP that deprives persons of rights, privileges, and immunities secured and protected by the Constitution and laws of the United States.
11. The following definitions apply to this Decree: a. The term "body cavity search" means any search

Page 5 of 40 involving the visual inspection or the internal physical examination of body cavities or organs such as the stomach cavity. The term "complaint history" means a summary of all misconduct complaints filed against a particular officer since 1986 and a summary, with a narrative description of the allegations, of lawsuits filed involving the officer as maintained in the automated early warning system described in Paragraph 12 below. The terms "document" and "record" shall be interpreted to include "writings and recordings" as defined by Federal Rules of Evidence Rule 1001(1). The term "field training officer" or "FTO" means, an experienced police officer whose responsibilities include providing on the job training and supervision of probationary police officers and continual training of all police officers. The terms "police officer" or "officer" means any law enforcement officer employed by the PBP, including supervisors and senior supervisors. The term "serious injury" means any injury that results in death or that the City has reason to know requires or results in professional medical care or treatment. The term "strip search" means any search of an individual requiring the removal or rearrangement of some or all clothing to permit the visual inspection of

Page 6 of 40 genitals, anus, breasts, buttocks, or undergarments. h. The terms "supervisor" and "senior supervisor" mean a management or non-management police officer with oversight responsibility for other officers. The term "supervisor" shall include sergeants, lieutenants, and other officers with similar responsibilities. The term "senior supervisor" includes "commanders, assistant chiefs, deputy chiefs, the Chief, and other officers with similar responsibilities. i. The term "zone" means a geographic subdivision of the City of Pittsburgh used by the PBP to delineate jurisdiction among police stations.
MANAGEMENT AND SUPERVISION 12. The United States acknowledges that the City has taken steps
to establish a database containing relevant information about its officers, as well as a statistical model to identify and modify the behavior of problem officers (also known as an "early warning system"). The City shall have an automated, early warning system in place and operational within twelve (12) months of entry of this Decree, a. The City's automated early warning system shall collect
and record, at a minimum, the following information about an officer: officer name and badge number; citizen complaints, including textual descriptions of the allegations and all fields entered by the City of

Page 7 of 40 Pittsburgh Office of Municipal Investigations ("OMI") described in Paragraph 44; hit and non-hit officerinvolved shootings; commendations and other indicia of positive performance; discipline imposed and related file numbers; all training, reassignments, transfers and mandatory counseling; status of any administrative appeals or grievances; a detailed description of all criminal investigations x>£ possible officer misconduct; a detailed description of all civil or administrative claims filed against the City arising from PBP operations; a description of all other civil claims or suits that the officer is a named party to involving allegations of untruthfulness, physical force, racial bias, or domestic violence; a description of all lawsuits filed against the City, the PBP, or its officers arising from PBP operations; all arrests with the location of each arrest, the race of each arrestee, and the code violation(s); and searches and seizures as documented in the search and seizure reports described in Paragraph 15; use of force as documented in the use of force reports described in Paragraph 15; and traffic stop information documented in the reports described in Paragraph 16. The City's automated early warning system shall have, at a minimum, the capability to retrieve information in the following categories: individual officer; squad,

Page 8 of 40 zone, shift, or special unit; arrests by officer(s) and types of arrests to determine the number of times a particular officer or groups of officers have filed discretionary charges of resisting arrest, disorderly conduct, public intoxication, or interfering with the administration of justice. Data regarding an officer shall be maintained in the automated early warning ,system during that officer's employment with the PBP "and for three (3) years after the officer leaves the PBP. Data regarding an officer that is removed from the automated early warning system shall be maintained in an archive indefinitely. The City shall input all data from the OMI database and all other available data into the automated early warning system for the three years prior to the entry of this Decree. Within four (4) months of the entry of this Decree, the City shall develop a written protocol governing the use of the automated early warning system. This protocol shall specify, at a minimum: (i) the numbers and types of incidents per officer requiring review by senior supervisors, the frequency of these reviews, and the follow-up actions to be taken by PBP senior supervisors based on information in the automated early warning system (including meeting with the officer and recommending appropriate remedial training, counseling,

Page 9 of 40 transfer, or re-assignment); (ii) re-training and recertification requirements,- (iii) confidentiality and security provisions; and (iv) quality assurance checks of data input. The City shall provide this protocol to the United States for review and approval at least 30 days prior to its implementation. If the parties are unable to agree on a written'protocol, the auditor described in Paragraph 70^shall have final authority to determine the protocol, e. Until full implementation of the automated early warning system, the City shall continue to identify for review all officers with three or more complaints of misconduct. Such review shall be documented and result, where appropriate, in re-training, counseling, transfer or reassignment.
13. The City shall develop and implement a use of force policy that is in compliance with applicable law and current professional standards. Prior to the implementation of such policy, the City shall provide the United States an opportunity to review the proposed policy and provide comments.
14. PBP officers shall conduct strip searches in compliance with applicable law and current professional standards. Specifically, PBP officers shall conduct strip searches only

Page 10 of 40 when authorized by a supervisor or senior supervisor and then only if specially trained to conduct strip searches. Such strip searches shall be conducted in conformance with • hygienic procedures and practices, in a room specially designated for strip searches, by the fewest number of personnel necessary all of whom must be of the same sex as the person searched, and under conditions that provide privacy from all but those authorized to conduct the search. Field strip searches of persons in custody shall be conducted only in exigent circumstances where the life of officers or others may be at risk, and only in privacy with the explicit approval of a supervisor or senior supervisor.
\ 15. The City shall develop, and require all officers to
complete, a written report each time a PBP officer (a) exercises a use of force; (b) performs a warrantless search (excluding searches incident to arrests, frisks, and pat downs); (c) performs a body cavity search or strip search; and (d) conducts any warrantless seizure of property (excluding towing vehicles). The record shall include the officer's name and badge number; description of incident; the specific type of use of force, search or seizure; description of any injuries and medical/hospital data; name, race and gender of all persons involved in the use of force, search or seizure; names and contact information for all witnesses; any weapons, evidence, or contraband found during

Page 11 of 40 the search; whether the individual involved in the use of force, search or seizure was arrested or cited, and if so, the charges; date, time, and location of the incident and search or seizure; and the signatures of the officer and his immediate supervisor.
16. The City shall develop, and require' all officers to complete, a written report each time a PBP officer makes a traffic stop. The record shall include the officer's name and badge number; the race and gender of the individual searched or stopped; approximate time and location; whether the stop involved a frisk or pat-down search; any weapons, evidence, or contraband found during the search; whether the individual involved was arrested or cited, and if so, the charges.
17. Data captured on the reports described above in Paragraphs 15 and 16 shall be entered into the City's automated early warning system. Hard copies of these reports shall be maintained by OMI.
18. The City shall conduct regular audits and reviews of the uses of force by all officers. PBP supervisors and senior supervisors shall have an affirmative obligation to act on this data with the goal of preventing the use of excessive force. Such actions shall include, at a minimum:

Page 12 of 40 a. Each use of force report prepared as required by-
Paragraph 15 above shall be reviewed by the reporting officer's chain of command within one week of the use of force. Senior supervisors shall refer to OMI for investigation all incidents where a use of force report reasonably indicates a possible violation of PBP policies; OMI shall investigate all such incidents. OMI shall also investigate, and issue findings regarding the appropriateness of, all incidents resulting in serious injury where a use of force report was required to be completed. b. PBP senior supervisors shall analyze use of force data from the automated early warning system on a quarterly,
\ cumulative basis to detect trends in PBP use of force. The analysis shall include a review by officer, by injury, and by type of force used. PBP senior supervisors shall act on this data to ensure that PBP officers are using appropriate types and amounts of force.
19. The City shall conduct regular audits and reviews of search and seizure practices by all officers. PBP supervisors and senior supervisors shall have an affirmative obligation to act on this data with the goal of preventing improper search and seizure practices by their officers. Such actions shall include, at a minimum:

Page 13 of 40 a. Each search and seizure report prepared as required by-
Paragraph 15 above shall be reviewed by the reporting officer's chain of command within one week of the search or seizure. Senior supervisors shall refer to OMI for investigation all incidents where a search and seizure report reasonably indicates a probable violation of PBP policies;"OMI shall investigate all such incidents. OMI shall also investigate, and issue findings regarding the appropriateness of, all strip searches, all body cavity searches, and all incidents resulting in serious injury where a search and seizure report was required to be completed. b. PBP senior supervisors shall analyze search and seizure
\ data from the automated early warning system on a quarterly, cumulative basis to detect trends in PBP search or seizure practices. The analysis shall include a review by officer, by injury, and by type of search or seizure used. PBP senior supervisors shall act on this data to ensure that PBP officers are using appropriate types and methods of searches and seizures.
20. The City shall conduct regular audits and reviews of potential racial bias, including use of racial epithets, by all officers. PBP supervisors and senior supervisors shall have an affirmative obligation to act on this data with the goal of eliminating actions that reflect racial bias by

Page 14 of 40 officers. Such actions shall include, at a minimum: a. Each citizen or other complaint of racial bias by-
officers shall be reviewed by the accused officer's chain of command within one week of completion of the OMI investigation. b. PBP senior supervisors shall analyze racial bias and racial epithet data from the'automated early warning system on a quarterly, cumulative basis to detect trends of possible PBP racial bias or racial epithets. The analysis should include: a review by officer, by use of force reports and complaints, search and seizure reports and complaints, traffic stops, discretionary arrests (resisting arrest, disorderly conduct, .public intoxication, or interfering with the administration of justice), racial epithets, or other indicators of possible racial bias.
21. After evaluating the most recent quarterly reports described in Paragraphs 18(b), 19(b), 20(b) above and evaluating an officer's complaint history, the City shall, at a minimum: a. Require and provide appropriate remedial training, assignment to an FTO, counseling, transfer, and/or reassignment to all officers: (i) as required in the protocol developed in Paragraph 12(d); (ii) who have had three (3) or more complaints containing allegations of similar types of misconduct (e.g.. verbal abuse,

Page 15 of 40 excessive force, improper search and seizure) within the last two years, whether the complaints are sustained or not; and (iii) who have had five or more complaints of any kind within the last two years, whether the complaints are sustained or not. Such training, counseling, transfer, and/or reassignment shall address the type of misconduct alleged. Impose appropriate discipline on each officer against whom a complaint is sustained as soon as possible after the OMI disposition. Except where the discipline is termination, remedial training or counseling shall also be imposed on each officer against whom a complaint is sustained. Where appropriate, transfer and
\ reassignment shall also be imposed on each officer against whom a complaint is sustained. Where appropriate, remedial training, counseling, transfer, or reassignment shall be required of each officer where a complaint is disposed of by a disposition other than sustained. For each officer against whom a complaint is sustained, consider an officer's prior record of complaints and the immediate misconduct when determining discipline. Prior remedial training, counseling, discipline, transfer, or reassignment for allegations of related misconduct shall be used in assessing the severity of the discipline imposed. Each disciplinary

Page 16 of 40 recommendation shall include the name of the officer, the date(s) discipline was imposed, any OMI file number or other related cross-references, and a detailed description of the factors considered in determining the particular penalty selected.
22. Within 60 days of the entry of this Decree, the City shall include in the PBP's central personnel files and OMI files an officer's disciplinary actions as described in Paragraph 21(c), and all underlying and supporting documentation. Each commander shall continue to maintain a zone personnel file on each officer under his or her command. This zone personnel file shall include all disciplinary action reports ("DARs") and all OMI and non-OMI complaints against the officer.
23. The United States recognizes that the PBP has developed a program to conduct annual performance evaluations. The PBP shall require annual performance evaluations of all officers, supervisors, and senior supervisors. The performance evaluation shall be in writing and shall fully explain the weight and substance of all factors used to evaluate an officer. At a minimum: a. Supervisors and senior supervisors shall be evaluated on their ability to monitor, deter, and appropriately address misconduct by officers they supervise; and

Page 17 of 40 b. The PBP shall evaluate each officer on the basis of his
or her complaint history, focusing on patterns of misconduct.

24. In addition to the Civil Service guidelines, the performance

evaluations shall be considered as one of the factors in

making promotions.

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25. The City shall continue to provide an employee assistance program ("EAP") . This program shall at a minimum provide counseling and stress management services to officers. This program shall be staffed by sufficient licensed and certified counselors who are trained and experienced in \ addressing psychological and emotional problems common to police officers. The City shall publicize the availability of these services to all officers. The City shall authorize officers to attend counseling without any adverse actions taken against them. The City shall refer officers to, but not require their participation in, EAP counseling where the City believes an officer's job performance may benefit from EAP services. These provisions are separate from any counseling the City may require as part of its "Track III" mandatory counseling program.

26. The City shall require all officers to notify the City when the officers have been arrested, criminally charged, or

Page 18 of 40 named as a party in any civil suit involving allegations of untruthfulness, physical force, racial bias, or domestic violence. The City and PBP management shall monitor all such civil litigation and all criminal prosecutions of officers. a. PBP shall discipline and appropriately re-train,
counsel, re-assign, or transfer officers found guilty or liable by a court or ,jury. b. OMI shall independently Investigate and make findings on all incidents giving rise to the litigation or prosecution where the court or jury does not find the officer guilty or liable, even when the complaint is withdrawn or settled. c. Such litigation and investigations shall be reflected in the early warning system described in Paragraph 12 and an officer's complaint history.
27. OMI shall monitor all criminal proceedings containing allegations of false arrests or improper searches or seizures by PBP officers. Officers determined by a court to have falsely arrested an individual or conducted an improper search or seizure shall be disciplined, retrained, counseled, transferred, or reassigned, as the circumstances warrant. Such litigation and investigations, as well as the management response, shall be documented and reflected in the early warning system described in Paragraph 12 and an

officer's complaint history.

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28. PBP shall continue to discipline, re-train, counsel, transfer, or reassign officers who are the subject of civil litigation settled by the City prior to adjudication, as the circumstances and OMI investigation warrant.

29. The City shall continue to provide its officers with access
to a legal advisor twenty-four hours per day, seven days per
week. The legal advisor shall be an attorney licensed in
the Commonwealth of Pennsylvania. This legal advisor shall
provide officers with regular training and counseling on
legal issues and requirements, including the use of force, \
searches and seizures, and racial bias.

30. The City shall develop and implement a rotation schedule that ensures that officers regularly are supervised by and work with different officers.

COMMUNITY RELATIONSHIPS 31. The United States recognizes that PBP officer
representatives attend meetings of community groups within their zone. The PBP shall continue to make every effort to participate in these meetings, including meetings organized by or oriented towards minorities.

Page 20 of 40 32. OMI shall continue to use television to inform the public
about OMI's function. OMI representatives'shall continue to attend community meetings to increase public awareness of OMI. The City shall continue to publish, and shall distribute at various places throughout the city, pamphlets describing the OMI complaint process.

TRAINING

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33. The United States recognizes that the PBP has provided

training to all officers in cultural diversity. The City

shall continue to provide all officers with annual training

by qualified instructors that includes, at a minimum,

training on how to relate to persons from different .racial,

ethnic, and religious groups, and persons of the opposite

sex. The City shall also provide training in communications

skills and avoiding improper racial, ethnic, and sexual

communications.

34. The PBP shall monitor complaints of police misconduct to gauge the effectiveness of training and to detect the need for new or further training.

35. The PBP shall train all officers in the use of verbal deescalation techniques as an alternative to the use of force, and shall incorporate such techniques into all other training that implicates the use of force. Such training

Page 21 of 40 shall include specific examples of situations that do not require the use of force, but may be commonly mishandled, resulting in force being used (for example, individuals verbally challenging an officer's authority or asking for an officer's identifying information).
36. The PBP shall train all officers in integrity and ethics, cultural diversity, and verbai>de-escalation techniques at the beginning of the academy "training curriculum to serve as a foundation for all other classes.
37. The PBP shall train all officers in integrity, ethics, the PBP's missions and values statements, and cultural . diversity. This training shall occur at least annually and shall cover the duties of truthfulness and reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.
38. The PBP shall instruct all officers in the OMI complaint process and their obligation to cooperate with OMI investigations.
39. The City shall encourage highly qualified candidates to apply for instructor and FTO positions. The City shall establish formal eligibility criteria for instructors and FTOs based on their performance evaluations and previous

Page 22 of 40 superior performance as police officers. The City shall disqualify any instructor or FTO, or candidate for those positions, with a poor disciplinary record or complaint history.
40. The City shall ensure that all training instructors and FTOs receive adequate training to enable them to carry out their duties. Training instructors and FTOs shall be required to maintain, and demonstrate on a regular basis, their proficiency in their areas of instruction. The City shall maintain current documentation of instructors' and FTOs1 proficiency and training.
\ 41. The City shall maintain written records documenting all
training of officers. At a minimum, these records shall reflect the name of the officer, the dates of the training, the reasons for any mandatory training (including any OMI file number or other related cross references), the general subject matter of the training (including lesson plans where available), and whether the training was completed satisfactorily.
42. The City shall maintain written records documenting all
mandatory counseling of officers. At a minimum, these
records shall reflect the name of the officer, the reasons for the referral (including any OMI file number or other

Page 23 of 40 related cross references), the general subject matter of the mandatory counseling, and whether the mandatory counseling sessions were attended.
43. The City shall provide all senior supervisors with mandatory annual supervisory and leadership training, which includes command accountability, integrity',, and cultural diversity.
COMPLAINT AND INVESTIGATION PROCESS Quality Assurance 44. OMI shall continue to enter all complaints and
investigations of misconduct into a computerized database recording incidents occurring since 1986. This database, in
\ addition to the requirements described in Paragraph 12, shall include the file number, the names of all involved officers, contact information for all officers and complainants, the race and gender of all involved officers and complainants, a textual description of the allegations, significant dates, the street address and zone of the incident, and the disposition of the complaint. When the City prepares a complaint history from the automated early warning system, it shall include, at a minimum, the officer's name, the OMI file number, the date of the incident, a textual description of the allegations, and the disposition. The actual investigation files shall be maintained for at least ten years from the date of the

Page 24 of 40 disposition of the complaint; except for investigation files disposed as "unfounded", which shall be kept for at least one year. All information in the OMI database shall be maintained during that officer's employment with the PBP and for three (3) years after the officer leaves the PBP. Data regarding an officer that is removed from the OMI database shall be maintained in an archive".indefinitely.
45. OMI files and records relating to a particular officer shall be available to personnel within that officer's chain of command who are responsible for that officer's training, counseling, or discipline.
46. OMI shall continue to maintain a manual detailing its policies and investigative procedures. The City shall ensure that all OMI investigators receive adequate training in these policies and procedures to enable them to carry out their duties, including training in proper techniques for questioning individuals. The PBP shall provide all OMI civilian investigators with police academy training and retraining in PBP policies and procedures including, but not limited to, use of force, searches and seizures, pursuits, transporting individuals in custody, restraints, arrests (including discretionary arrests); traffic stops, racial bias, report writing, and other relevant policies and procedures; investigative and interview techniques; cultural

Page 25 of 40 sensitivity; ethics, integrity, professionalism and the missions and values statement. Such training shall be identical to that received by OMI police investigators. Investigators shall be evaluated based on their competency in following the policies and procedures for investigations. The City shall make the OMI manual of policies and procedures available for inspection by the public and officers at OMI headquarters .,and at each PBP facility.
Filing a Complaint 47. Complainants may initiate a complaint against an officer
either in person or by telephone, mail, or facsimile transmission. Complainants shall not be required to file a
\ complaint "form" to initiate an investigation. Complainants may be required to provide information available to them to enable OMI to identify the police officer(s) involved and the incident giving rise to the complaint.
48. A complainant may file an anonymous verbal or written complaint. OMI shall accept and investigate complaints filed by individuals other than the alleged victim of misconduct (third-party complaints). OMI shall ask anonymous and third-party complainants for corroborating
evidence. OMI shall investigate anonymous complaints to the
fullest extent possible to determine whether the complaint is corroborated. The City shall continue to require

Page 26 of 40 officers to report misconduct by other officers. Misconduct by fellow officers shall be reported directly to OMI or through an officer's chain of command.
49. OMI shall not close an investigation without rendering a disposition solely because the complainant withdraws the complaint or is unavailable to make' a statement. OMI shall investigate such complaints to>the fullest extent possible to determine whether the complaint is corroborated.
50. OMI offices shall be relocated to other suitable City office space and shall be separate from any building occupied by PBP personnel. This new facility shall be convenient to \ public transportation. OMI shall publicize the relocation of its offices.
51. No complainant shall be required to go to a police station, any police building or OMI office to file a complaint or provide a statement. The City shall hold quarterly open meetings in rotating zones to educate the public about proper police functions; police misconduct, including excessive use of force, improper searches and seizures; and the proper methods for filing complaints against police officers. The City shall require OMI personnel to receive complaints at these quarterly open meetings. At least one week before such quarterly meetings, the City shall publish

Page 27 of 40 the telephone number of OMI and the time and location of each quarterly meeting in a prominent location in all Citybuildings. Complaints received by OMI personnel at such meetings may relate to any misconduct within the jurisdiction of OMI and shall be treated like any other OMI complaint.
52. OMI shall notify the senior supervisors of an accused officer whenever a complaint lias been filed against that officer alleging use of excessive force, improper search or seizure, or racial bias.
53. OMI shall be responsible for investigating all complaints. OMI shall monitor and be responsible for the progress and completeness of all investigations, including those it delegates for investigation. There shall be no discretion by any OMI staff to not accept a complaint. The City shall not permit any PBP officer to attempt to settle an OMI complaint through informal means without prior notice to, and approval by, OMI. OMI shall document all officerinitiated settlements of citizen complaints, and such documentation shall become part of the permanent OMI file.
54. PBP officers shall continue to be required to provide their name and badge number to any individual who requests it. Refusal to provide this identifying information shall result

in disciplinary action against the officer.

Page 28 of 40

Investigating Misconduct 55. If complainan.ts or witnesses are unavailable to be
interviewed at OMI offices during business hours, OMI investigators shall offer to interview them at alternate sites and times, including at residences or places of business, and during reasonable weekend or after business hours. OMI investigators shall provide reasonable notice before all interviews.

56. All interviews of complainants, involved officers, and witnesses shall be tape-recorded and transcribed. These tapes shall be maintained and kept as part of the OMI investigative file. If a complainant or witness refuses to be tape-recorded, then OMI shall prepare a written narrative of the statement to be signed by the complainant or witness. OMI shall not conduct group interviews. OMI shall not accept a "special report" or written statement from any officer in lieu of an interview. OMI investigators shall have the authority to question all interviewees and to challenge their version of the facts.

57. In order to interview officers, OMI investigators shall obtain, and the PBP shall provide full access to, information from the automated early warning system and the

Page 29 of 40 following information regarding the accused officer and officer witnesses: performance evaluations, assignment history, and training/qualification records.
58. Supervisors and senior supervisors on the scene of incidents that result in a misconduct complaint shall be interviewed. Supervisors and senior supervisors, shall be required to detail their handling of the .situation during and after the alleged incident and their observations of the complainant and accused officers.
59. OMI investigators shall canvass the scene of an incident for witnesses as soon as possible after receiving a complaint of misconduct where the evidence on hand is insufficient to conduct a complete investigation of the complaint and where canvassing the scene could reasonably yield additional information.
60. OMI shall review reports of firearm discharges prepared by the PBP and reports prepared pursuant to a coroner's inquest regarding all deaths caused by an officer and make a finding about whether any misconduct occurred during the incident. The City shall appropriately discipline, re-train, counsel, transfer, or re-assign officers involved in such incidents, as the circumstances and OMI finding warrant.

Page 3 0 of 40 61. OMI shall itself aggressively collect all appropriate
evidence to document each incident of potential misconduct, or any injury of a complainant, including medical records and photographs of injuries. OMI shall not require complainants or other witnesses to provide evidence that OMI itself can obtain.
62. OMI shall assess the proprietyof all officer conduct during an incident it investigates. "If during the course of an OMI investigation, the OMI investigator has reason to believe that misconduct other than that alleged by the complainant has occurred, OMI must investigate and make findings with respect to such misconduct. If, during the course of its investigation, OMI has reason to inquire whether an officer had the requisite probable cause for any stop, search or seizure, or arrest relevant to the complaint under investigation, OMI shall rely on any probable cause determinations made by a court of competent jurisdiction. If OMI finds that no court of competent jurisdiction has made a probable cause determination, OMI shall request the district attorney's office to make the probable cause determination.
63. At the conclusion of each investigation, OMI shall issue a
final report describing the alleged misconduct, any other misconduct identified during the course of the

Page 31 of 40 investigation, a summary of all evidence gathered during the investigation (including an explanation for the absence of any evidence), documentation of all credibility determinations, OMI's findings with respect to all potential misconduct, the accused officer's complaint history, and the analysis supporting OMI's finding. The final report shall be made a part of the investigation file.
, - > 64. The City shall provide OMI with sufficient staff, funds, and
resources to perform the functions required by this Decree. The City shall encourage highly qualified candidates to become OMI police investigators. The City shall establish formal eligibility criteria for OMI police investigators
\ based on their previous superior performance as police officers, including management potential. The City shall disqualify OMI police investigator candidates with poor disciplinary records and complaint histories. OMI police investigators shall serve terms in OMI not exceeding three years.
Adjudicating the Complaint 65. OMI shall continue to make findings based on a
"preponderance of the evidence" standard.
66. There shall be no automatic preference of an officer's statement over a complainant's statement. In making

Page 32 of 40 credibility determinations, OMI investigators shall consider the officer's history of complaints (including those with dispositions other than "sustained") and disciplinary records and the complainant's criminal history for crimes involving untruthfulness. Such credibility determinations shall be explained fully in writing.
67. Final authority and responsibility for determining the disposition of a complaint shall rest with OMI. The accused officers' supervisors and senior supervisors shall not have the authority to modify or reverse any OMI disposition of a complaint.
68. OMI shall change the classification of "Not Sustained" to "Not Resolved."
69. OMI shall continue to issue quarterly statistical report of investigations filed with OMI. Such reports shall include each investigation's significant dates, general allegations, disposition, and any resulting discipline.
AUDITOR 70. Within 90 days after the entry of this Decree, the City
shall appoint an independent auditor who shall report on a quarterly basis the City's compliance with each provision of this Consent Decree. The auditor shall be an agent of the

Page 33 of 40 Court and shall not be retained by any current or future litigant or claimant in a claim or suit against the City or its officers. The auditor shall not issue statements or make findings with regard to any act or omission of PBP, OMI, or the City, except as required by the terms of this Decree. The auditor may testify in. court regarding any matter relating to the implementation, enforcement, or dissolution of this Decree. ,The auditor shall be acceptable to both parties. If the parties are unable to agree on an auditor, each party shall submit two names, along with resumes or curricula vitae and cost proposals, to the Court and the Court shall appoint the auditor from among the names submitted. The City shall bear all costs of the auditor.
71. The auditor shall perform quality assurance checks of OMI investigations. The City shall provide the auditor with full access to all OMI staff and records (including databases, files, and quarterly statistical summaries), the automated early warning system described in Paragraph 12, all information regarding officer use of force and searches and seizures (including the use of force reports required by Paragraph 15, and the search and seizure reports required by paragraph 15), all information required in Paragraph 16, and all relevant City manuals of policies and procedures that the auditor deems necessary to fulfill his or her duties, as defined below. The auditor shall review and evaluate the

Page 34 of 40 following information, and issue a quarterly report to the

parties and the Court describing the review and analysis:

a. All OMI final reports as described in Paragraph 63, and

all remedial training and disciplinary records

described in Paragraphs 41 and 21(c). The City shall

forward all OMI final reports and all disciplinary and

training records to the auditor immediately upon their

completion.

, /

b. The substance and timeliness of at least 50% of all OMI

investigations completed during each quarter of the

City's fiscal year.

c. Statistical information on the number and types of

complaints of PBP misconduct, the timeliness of the
\ investigations, the disposition, and any remedial

training, counseling, discipline, transfers, or

reassignments.

d. Discipline, remedial training, mandatory counseling,

transfers, and reassignments actually imposed as a

result of each complaint.

e. Officer use of force, searches and seizures, and

traffic stops.

72. OMI shall re-open for further investigation all investigations the auditor determines to be incomplete. The auditor shall provide written instructions for completing the investigation.

Page 35 of 40
73. Ninety (90) days following entry of this Decree and every six (6) months thereafter until this Decree is terminated, the City shall file with the Court and the auditor, with a copy to the United States, a status report delineating all steps taken during the reporting period to comply with each provision of this Decree. The''City'shall state whether any internal or external audits of /the PBP or DPS functions that relate to the PBP have been performed and will summarize the subject matter and results of such reports. The City shall provide the United States with copies of these reports or audits upon request.
74. The City shall maintain all records necessary to document their compliance with all terms of this Decree. The City shall also maintain any and all records required by or developed under this Consent Decree.
75. During all times while the Court maintains jurisdiction over this action, the auditor shall have unrestricted access to and, upon request made to the City Solicitor, receive copies of any documents and any databases relating to the implementation of this Decree. The auditor shall, with 48
hour prior written notice to the City Solicitor, have access
to all staff and facilities as necessary to monitor the City's compliance with the terms of this Decree.

Page 36 of 40
76. During all times while the Court maintains jurisdiction over this action, the United States shall have access to and, upon request made to the City Solicitor, receive copies of any documents and any databases necessary to evaluate compliance with this Decree. The United States shall provide written notice to the City^Solicitor, to obtain access to all staff and facilities as necessary to evaluate the City's compliance with the terms of this Decree. Such access shall be provided in a reasonable time, place, and manner.
COMPLIANCE 77. The City shall immediately provide copies of, and explain
the terms of this Decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations, in order to ensure that they understand the requirements of this Decree and the necessity for its strict compliance. All such individuals shall sign a statement indicating that they have read and understand this Decree and acknowledge receiving an individual copy of the Decree. These statements shall be retained by the City.
78. Except where otherwise specifically indicated, the City shall implement all provisions of this Decree within 90 days

after entry of this Decree.

Page 3 7 of 40

79. The Court shall retain jurisdiction of this action for all purposes during the term of this Decree. At any time after five (5) years from the date of entry of this Decree, and after substantial compliance has been maintained for no less than two years, the City may move':to terminate this Decree. Any motion to terminate must ,detail all aspects of the City's compliance with each provision of this Decree, supported by affidavits and supporting documentation. The United States shall have ninety (90) days from receipt of the City's motion to terminate to file its objection(s). In the event the United States files objections to the.City's motion, the Decree shall remain in effect at least until . entry of a court order disposing of the motion and thereafter as dictated by the court's order. In the event the United States objects to termination of the Decree, the Court shall hold a hearing, at which both parties may present evidence, before ruling on the City's motion to terminate. At the hearing, the burden shall be on the City to demonstrate that it has fully and faithfully implemented all provisions of this Consent Decree and maintained substantial compliance for at least two years.

MODIFICATIONS

Page 38 of 40

80. No changes, modifications, or amendments of this Consent

Decree shall be effective unless they are ordered by the

Court.

CORRESPONDENCE
81. All correspondence with the City concerning this Consent
Decree shall be addressed to: /
City Solicitor City of Pittsburgh Department of Law 313 City County Building 414 Grant Street Pittsburgh, PA 15219

SEVERABILITY 82. The parties agree to defend the provisions of this Consent
Decree. The parties shall notify each other of any court challenge to this Decree. In the event any provision of this Consent Decree is challenged in any local or state court, removal to a federal court shall be sought.

83. In the event any provision of this Consent Decree is declared invalid for any reason by a Court of competent jurisdiction, said finding shall not affect the remaining provisions of this Decree.

We consent and seek entry of this Decree: For the United States of America:

Page 39 of 40

W. THIEMAN United States Attorney Western District of
Pennsylvania (PA ID #26507)
Division U.S. Attorney's Office Western District of
Pennsylvania (PA ID #36623) 633 U.S. Post Office and Courthouse 7th and Grant Streets Pittsburgh, PA 15219 (412) 644-3500

ISABELLE KATZ Acting Assistant Attorney ''* General Civil Rights Division
STEVEN H. ROSENBAUM Chief Special Litigation Section Civil Rights Division

PHYLLIS COHEN

U

ROBERT MOOSSY

KEN NAKATA (PA ID #54400)

Trial Attorneys

U.S. Department of Justice

Civil Rights Division

P.O. Box 66400

Washington, D.C. 20035-6400

(202) 514-6255

For the Defendants:
_ R. MORROW Cilzy Solicitor JOHN SHORALL Assistant City Solicitor City of Pittsburgh Department of Law 313 City County Building 414 Grant Street Pittsburgh, PA 15219 (412) 255-2010

Page 40 of 40

SO ORDERED this

day of

, 1997,

United States District Court Judge

 
 U.S. v. City of Pittsburgh

PN-PA-003-003

1

IN THE UNITED STATES DISTRICT COURT

FOR THE WESTERN DISTRICT OF PENNSYLVANIA

2 UNITED STATES OF AMERICA

3

Plaintiff

vs.

Civil Action No. 97-354

4

CITY of PITTSBURGH, et al.

5

Defendants

6

7 ERNEST WILLIAMS, et al.

8

Plaintiffs

vs.

Civil Action No. 97-560

9 CITY of PITTSBURGH, et al.

10

Defendants

PROCEEDINGS

11

Transcript of hearing commencing on THURSDAY, APRIL 16,

1997, United States District Court, Pittsburgh,

12 Pennsylvania, before Honorable ROBERT CINDRICH, District

Judge.

13

APPEARANCES:

14

For the Government: By: Steven H. Rosenbaum Esq.

15

Robert Moossy, Esq.

16 For the City of Pittsburgh:

By: John Shorall, Esq.

17

Susan Malie, Estj.

Jacqueline Morrow, Esq.

18

Kadisha Diggs, Esq.

For the Fraternal Order of Police:

19

By: Bryan Campbell, Esq.

20 For Williams, et al. By: Vic Walczak, Esq. Tim O'Brien, Esq.
21

22

Reported by:

Patricia W. Sherman

23

Official Court Reporter

1017A USPO & Courthouse

24

Pittsburgh, Pennsylvania 15219

(412) 281-6855

25 Proceedings recorded by mechanical stenography. Transcript

produced by computer-aided transcription.

1

WEDNESDAY MORNING, APRIL 16, 1997

2

THE COURT: Good morning. I appreciate having

3 received the various responses and submissions since the

4 last time we were here in open court and have found them

5 quite useful. There are a number of matters pending which

6 I'd like to dispose of today, and I'll go through them and

7 please let me know if I've missed something.

8

The first is the joint motion of the United States

9 and the City regarding the interpretation of the consent

10 decree.

11

Next is the motion for intervention as of right or

12 permissive intervention under Federal Rule of Civil

13 Procedure 24 filed on behalf of the Fraternal Order of

14 Police.

15

The United States' opposition and request for

16 approval of the consent decree has been filed in response to

17 that together with the attached affidavit of Lou Reiter,

18 R-E-I-T-E-R, and I may be pronouncing that name improperly,

19 who was a former law enforcement official and now a

20 consultant in police matters.

21

The City has also opposed the FOP's motion to

22 intervene and has joined in the brief of the United States.

23

The third matter is the motion of Williams versus

24 City of Pittsburgh, plaintiffs, to consolidate the civil

25 action at No. 96-560 with this case at No. 97-354.

1 To that, we have the response of the United States and the

2 response in opposition by the City.

3

And the last thing I have is the Williams

4 plaintiffs' response to the proposed consent decree together

5 with the affidavit of James J. Fyfe, F-Y-F-E. Dr. Fyfe is a

6 professor of criminal justice at Temple University and an

7 expert on police procedures. The Williams plaintiffs'

8 response is in support of the consent decree and urging the

9 Court to sign it.

10

Are there any other matters pending that I missed?

11

MR. O'BRIEN: If it please the Court, Attorney

12 Timothy O'Brien representing the plaintiffs in the Williams

13 case.

14

Just for the record, there are other motions that

15 are still pending, of course, including the motion for class

16 certification, my motion to amend the plaintiffs' amended

17 complaint.

18

THE COURT: In the Williams case?

19

MR. O'BRIEN: In the Williams case

2©

THE COURT: That's 96-560. All right. Let's

21 deal with these in the same order I've listed them. And the

22 first would be the joint motion regarding the interpretation

23 of the consent decree which has been submitted by the City

24 and the United States.

25

Mr. Rosenbaum.

1

MR. ROSENBAUM: May it please the Court, my name

2 is Steve Rosenbaum and I represent the United States.

3

The United States and the City of Pittsburgh and

4 the other defendants in our action took heed of Your Honor's

5 remarks at the last hearing in this matter for us to look to

6 ways to clarify the proposed consent decree, try to address

7 some of the concerns that have been raised at the hearing,

8 particularly by the FOP, and some of the concerns that the

9 Court had identified.

10

The order regarding the interpretation of the

11 consent decree, that we seek to be entered along with the

12 consent decree, serves that purpose. It addresses three

13 issues that had been raised at the earlier hearing.

14

The first issue concerned the anonymous complaints

15 of police misconduct and what would happen with those

16 complaints.

17

The interpretation of the decree that the parties

18 propose would make clear that anonymous complaints that, 19 after investigation, are determined by the Office of

20 Municipal Investigations to be uncorroborated shall be 21 deemed unfounded and then will not — no action will follow 22 from that determination in terms of discipline, retraining, 23 an assignment to a field training officer, counseling 24 reassignment or transfer. And that those particular 25 complaints and determinations will not factor into the

1 paragraph 21 counts.

2

Your Honor may recall that in paragraph 21, there

3 is a system for identifying officers for review by police

4 bureau supervisors if they had received a certain number of

5 similar complaints over a two-year period or a different

6 number of any kind of complaints over a two-year period.

7 And what the proposed interpretation does is say that the

8 complaints, anonymous complaints determined to be unfounded

9 after investigation, will not serve to reach a count of

10 three similar counts or a count of five unrelated complaints

11 over a two-year period --

12

THE COURT: So that we're clear, if there is an

13 anonymous complaint and it's responded to and corroboration

14 is found, so that the complaint turns into something more

15 than an anonymous complaint by virtue of the corroboration,

16 then it would figure into paragraph 21A and other

17 provisions.

18

MR. ROSENBAUM: That's right.

19

THE COURT: So it's only when the anonymous

20 complaint, after investigation, is found to be unfounded

21 that it will take no part in the disciplinary mechanism

22 envisioned by the consent decree.

23

MR. ROSENBAUM: The disciplinary mechanism or the

24 non-disciplinary mechanism. That's also part of that

25 paragraph.

1

THE COURT: All right. I think I understand that

2 one.

3

MR. ROSENBAUM: The next paragraph of the proposed

4 order addresses the term counsel or counseling that was used

5 in various places throughout the proposed consent decree.

6 And there was, candidly, looking back at the -- some

7 confusion that could have been created because counseling,

8 as the proposed order reflects, can mean different things in

9 different circumstances.

10

What paragraph two of the supplemental order does

11 is identify the circumstances when counseling means a

12 meeting or meetings between an officer and a senior

13 supervisor or supervisor in which the officer's conduct is

14 discussed.

15

And the other circumstance, the other definition

16 of counsel or counseling is a meeting or meetings between an

17 officer and an Employee Assistance Program Substance Abuse

18 or Psychological counselor. And what the subparts of that

19 paragraph do is identify the points in the decree when the

20 term counselor or counsel or counseling refers to the

21 Employee Assistance Program Substance Abuse or Psychological

22 Counseling only. And then the other places in the decree,

23 the term counsel or counseling means either the supervisory

24 meeting, the meeting between an officer and a supervisor, or

25 one of the other kinds of the EAP Substance Abuse or

Psychological Counseling as the circumstances warrant.

What this said from just clarifying this, what this is responsive to is that there are places in the decree where the police bureau will have to make determinations about whether non-disciplinary action of some type is warranted. And that can include training or counseling and

7 what this paragraph does is say, by counseling in that 8 circumstance, we didn't mean only Employee Assistance 9 Program Substance Abuse or Psychological Counseling. We

10 meant the kind of counseling that occurs between a

11 supervisor and his or her subordinate.

12

THE COURT: Give me an example. Would it be —

13 let's suppose there was an incident involving a citizen in

14 which there was a complaint that the officer was rude.

15

Would counseling include a talk with a superior

16 officer about — with the officer who was accused about

17 demeanor and behavior on the street?

18

MR. ROSENBAUM: Yes.

19

THE COURT: That would constitute counseling?

20

MR. ROSENBAUM: Right. And satisfy the

21 requirements of the decree. If an officer had three

22 complaints of rude behavior, maybe none of which were

23 sustained, but over a two-year period, that would pop up and

24 the consent decree would require the supervisor to look at

25 those circumstances and do something.

8

1

One of the things the supervisor could do is to

2 decide that this is most appropriately addressed by me

3 calling in the officer and talking to the officer about how

4 to interact with citizens and in certain kinds of

circumstances.

6

THE COURT: Let me ask if there is a necessity in

7 the agreement to record or otherwise memorialize this

counseling session?

MR. ROSENBAUM: I believe there is at least an

10 implicit sense that that needs to be done. The City is

11 required to maintain all records necessary to monitor and

12 determine compliance with the decree. That's explicit and I

13 would view the hypothetical the Judge identified as one of

14 those circumstance where records should be kept.

15

THE COURT: All right.

16

MR. ROSENBAUM: The third clarification of the

17 decree addresses paragraph 27 of the decree which concerns

18 — which concerns criminal proceedings containing

19 allegations of false arrest or improper searches or seizures

20 by police bureau officers.

21

This was — this is in this paragraph one of the

22 events that prompted supervisor review and that is when

23 officers are determined by a court to have falsely arrested

24 an individual or conducted an improper search or seizure.

25

Then the decree goes on to list in the disjunctive

1 several options that are available to the police bureau —

2 discipline, retraining, counseling, transfer, reassignment.

3 And then it says significantly as the circumstances

4 warranted.

5

Meaning that the intent is that a supervisor will

6 look at a situation where a search has been determined by a

7 court to be unreasonable, analyze those facts and determine

8 what needs to be done with regard to the officer. And for

9 example, if the officer lied in order to obtain a search

10 warrant and that's the reason that the evidence was thrown

11 out, that would be a disciplinable event. If there are

12 circumstances where the evidence was thrown out because of

13 problems with the way the testimony was presented, that

14 wouldn't be a disciplinable event, but it might be a

15 circumstance where the supervisor would counsel the officer

16 about how to present testimony in court, what is the most

17 effective way to do that.

18

That was the original intent of paragraph 27. And

19 the interpretation that we're proposing is our effort to

20 make that intent explicit or even more explicit than it was

21 in the original decree.

22

By saying that the phrase as the circumstances

23 warrant includes circumstances of — circumstances beyond

24 the control of the officer.

25

THE COURT: Let me give you an example and I'll

10

1 tell you why that did give me pause.

2

I had a case recently where it was a Terry stop.

3 It was my judgment that there was not the reasonably

4 articulated suspicion that is necessary under the law to do

5 the pat down and to retrieve the weapon. I didn't think the

6 officers were morally or any other way wrong. As a matter

7 of fact, they did what I used to teach officers. When in

8 doubt, do whatever is necessary to protect yourself, and let

9 the court worry about the officers who felt they had to

10 protect themselves and they did a pat down.

11

Even though I suppressed in that case, and then

12 the record would show that evidence was suppressed, it

13 didn't seem to me that the officers were culpable in anyway.

14 I mean, we're talking about a very fine distinction in the

15 law where we have the civil law governing conduct and then

16 we have the necessities and the exigencies of a police

17 officer on the street. And it seemed to me that those

18 officers did exactly what I would have taught them to do

19 when I was teaching police officers about how to respond.

20

So, how would this consent decree deal with that

21 kind of a situation? I should point out there was no

22 excessive force or anything. There was officers thinking

23 they had to do a pat down in order to protect themselves.

24

MR. ROSENBAUM: The decree would identify it as an

25 event that or transaction, a decision by the court, that

11

1 needed to be reviewed at the supervisory level in the police 2 bureau.

3

And in the circumstances you describe, it would be

4 sufficient for the police bureau supervisor to meet with the

5 employee, the officer, and counsel the officer as the term

6 counseling is now or would now be defined and the

7 interaction could be just the interaction, just repeating

8 what Your Honor just described which is we've reviewed the

9 record. It looks to us like you exercised the judgment that

10 you need to have discretion to exercise in determining to do

11 the pat down, and the fact that the court found that there

12 wasn't a proper basis for doing that, you should alter the

13 behavior or you know, maybe there is something that can be

14 identified from the court's ruling that, you know, maybe if

15 you, next time if you do this a little bit differently, the

16 evidence wouldn't have been thrown out.

17

So, it's really just, in that circumstance, a good

18 management technique of giving some direct feedbacks so that

19 the officer doesn't walk away from the event, just knowing

20 that there is a court ruling but maybe not understanding

21 what that means in terms of what's expected of the officer

22 the next time a similar situation arose.

23

THE COURT: All right. So, the consent decree

24 then definitely leaves room for the kind of split second

25 decision-making that an officer has to do on the street and

12

1 that's my concern. I think it's been a concern expressed by

2 the Fraternal Order of Police and Sergeant Hines.

3

I guess I'm trying to get a sense of this. That

4 when this thing gets implemented, that there is a balance

5 here so that, for example, if we had a search of someone's

6 house or personal belongings with no search warrant and no

7 probable cause, that might result in one action. But if we

8 had a situation, such as I've described, that might result

9 in another type of action.

10

MR. ROSENBAUM: What the decree — what paragraph

11 27 is intended to do is identify the event or transaction

12 that requires supervisor review. Then leave it to the

13 police bureau supervisors, in the first instance, to

14 determine what the appropriate response is. And then list

15 an array of options, discipline, retraining, counseling,

16 transfer or reassignment as the circumstances warrant.

17

So, it posits with the supervisors and the police

18 bureau the authority to choose which of those — to review

19 the decision by the court and then determine which of those

20 options is appropriate in the circumstance. Recognizing

21 that counseling may mean simply a meeting between the

22 supervisor and the officer.

23

So, this paragraph is not intended to change the

24 law, the Fourth Amendment law, on search and seizure of

25 false arrests in anyway. It just requires the police bureau

13

1 supervisors to look at a situation where evidence has been

2 thrown out by a court because the search was unreasonable,

3 seizure was unreasonable, and then determine what that means

4 in terms of that officer's conduct or future actions in the

5 police department.

6

And as I would point out, as identified in the

7 affidavit submitted by James Fyfe, actually, this system we

8 have in paragraph 27 actually provides a mechanism for

9 making law enforcement more effective, and he relates a

10 couple of different examples, situations where officers,

11 perhaps, have a sense of bravado, never wanting to admit in

12 court that they were in any fear for their own well being.

13 And as a result, they were having evidence thrown out.

14

So, there is an occasion for counseling the

15 officers. This isn't a matter of admitting fear. These are

16 what the legal standards are and this is how you testify

17 based on what happened here. And the result of that kind of

18 review and counseling would actually lead to less evidence

19 being suppressed and better police work being done.

20

THE COURT: Frankly, there are not that many cases

21 in which a suppression is warranted under the current state

22 of the law in any event, but it does happen. That's what I

23 was concerned about. That the conduct of the officer be

24 viewed or judged with regard to some standard of culpability

25 as opposed to some mere technical non-compliance with a law

14 1 that is very difficult to apply.

2

The Terry frisk is probably one of the hardest

3 that we have to apply. And as I say, it requires a split

4 second judgment, but I understand what your position is on

5 it now. And I, knowing that, frankly, I think it's an

6 improvement in the language, and I'm glad that you have

7 submitted this joint motion.

8

MR. ROSENBAUM: Thank you.

9

THE COURT: Mr. Shorall, is there anything that

10 you would like to add concerning the joint motion or any

11 other matter?

12

MR. SHORALL: Thank you, Your Honor. Only that the

13 City joins in the statement of Mr. Rosenbaum, on behalf of

14 the United States, with respect to the joint motion. And

15 also, to inform the Court that the Court's mandate was that

16 the parties seriously and conscientiously examine those

17 issues which were raised before the Court by the FOP and

18 others during this last hearing. And to inform the Court

19 that the parties have undertaken that serious and

20 conscientious review that was requested of them. Thank you,

21 Your Honor.

22

THE COURT: I guess I should say which parties. I

23 see Mr. Campbell sitting there and I don't know whether he

24 feels like a potted plant or not at this moment.

25

But Mr. Campbell, you've heard what's been said

15

1 about the interpretation of the consent decree. And I guess

2 my question is whether, at least as to the provisions

3 discussed, it obviates some of the concerns that were

4 expressed by you and the FOP earlier.

5

MR. CAMPBELL: On the issue of the anonymous

6 complaints, I think it goes a long way towards addressing

7 what I raised in court and also the contract provisions that

8 apply to anonymous complaints, and really, the past practice

9 that we've had that's been developed.

10

I guess at this point, the Court is still on point

11 one which is the joint motion?

12

THE COURT: Right.

13

MR. CAMPBELL: I guess you'd want to hear from me

14 on the motion to intervene at a subsequent time?

15

THE COURT: Exactly. As to the joint motion

16 regarding the interpretation, it would be my anticipation

17 that you wouldn't have any objection to, if the consent

18 decree were to be amended in that regard which, of course,

19 the Court will be almost bound to do since the parties asked

20 that it be amended, that that would be appropriate.

21

MR. CAMPBELL: I would say on the issues that have

22 been addressed, we can agree that that goes a long way

23 towards answering the questions that we had on these three

24 items.

25

THE COURT: Right. I understand.

16

1

MR. CAMPBELL: As to the other items, they are

2 still out there.

3

THE COURT: All right. Next, we have the motion

4 for intervention as of right or permissive intervention

5 under Federal Rule of Civil Procedure 24 filed on behalf of

6 the FOP and the response and the responses to that motion.

7

I think the reasons Mr. Campbell sets forth in his

8 motion are fairly self-evident. Essentially, the motion

9 sets forth that the decree directly has an impact on all

10 police officers since it imposes, according to the

11 intervener, new terms and conditions of employment, some of

12 which alter the present collective bargaining agreement, and

13 Mr. Campbell asserts that the FOP's interest in the decree

14 involves common questions of law and fact that have been

15 raised by the parties. That would lead us to the Rule 24

16 intervention.

17

As you know, the United States and the City have

18 responded in opposition to the motion to intervene. So, if

19 it would be all right, Mr. Campbell, I would hear from the

20 United States and the City and then you would be given an

21 opportunity to respond to that.

22

MR. ROSENBAUM: Your Honor, the United States'

23 position on the FOP motion to intervene to the objections to

24 the decree is this.

25

We believe that the Court has an obligation to

17

1 address the issues raised by the FOP before entering the

2 decree. But that having addressed those issues and make the

3 determination that we believe is appropriate, which is that

4 the decree does not alter the existing collective bargaining

5 agreement or impair collective bargaining rights under Act

6 111 of the Pennsylvania Code, that would lead to the

7 conclusion that the FOP lacks sufficient, a sufficient

8 interest to participate in the litigation.

9

So, this is — this issue is more matter of where

10 you put the different boxes, but it's not an effort to avoid

11 a court determination on the issues raised by the FOP.

12

THE COURT: I had a question about, usually, when

13 we get a motion to intervene, there is a piece of litigation

14 that's likely to last for a while. Where you have a consent

15 decree, I don't know what you intervene in.

16

Does the FOP want to intervene and become a

17 signatory to the consent decree? I don't think so. So what

18 are they intervening in? Except perhaps this phase of the

19 proceedings where the Court does the due diligence, if you

20 will, the required inquiry as to the appropriateness of the

21 consent decree. And in effect, we have granted what

22 amounted to a right to be heard, whether we call it

23 intervention or not we have.

24

But you see, what are you intervening in once the

25 decree is entered? I don't know how to answer that

18 question.

MR. ROSENBAUM: Well, there is some Third Circuit

cases that give some guidance in this area. And what the

Third Circuit case law recognizes is that in a consent

decree setting, you are in something different than the

run-of-the-mill cases as the Court's statements recognize.

7

But they divide the inquiry into whether there is

8 an attempt to intervene on the merits of the litigation or

an attempt to intervene on the remedy proffered in the

10 consent decree.

11

In a case like this one where the United States

12 does not seek to impose liability on the FOP, the City, but

13 does through its complaint seek to impose liability on the

14 City, the City has the discretion that any litigant would

15 have to decide, weigh the risks of litigation, and the

16 benefits of a system and decide to opt for settlement, and a

17 party that is not going to be held liable or has no risk of

18 being held liable in the litigation can't intervene on the

19 merits to force litigation on the merits.

20

The City has the prerogative, in this case, to

21 decide to settle the litigation. The Third Circuit has,

22 however, recognized that there may be some circumstances

23 where there is a sufficient interest in the remedy to

24 warrant intervention by a party that cannot be held liable

25 in order to be heard as to the remedy. So, I have viewed

19 1 the FOP's motion as a motion to intervene for purposes of

2 addressing the remedy.

3

THE COURT: Well, you see, that's where I ran into

4 kind of a conceptual problem. Because let's suppose the

5 Court grants the intervention and the Court signs the

6 consent decree. They are not a party to the consent decree.

7 Where does that leave them?

8

It would seem to me that any interest would be

9 extinguished at that point. And further, as you've

10 indicated, under Section 14141 of Title 42, I don't think

11 the FOP could be a party to be sued by the Department of

12 Justice under that statute. Do you agree?

13

MR. ROSENBAUM: Not under the circumstances

14 present in Pittsburgh and probably not in any other

15 circumstance. The statute does talk about a governmental

16 authority or an agent. And so there may be some factual

17 circumstances where there is, as to some issue, there is an

18 agency relationship.

19

We are not seeking, in this case, to impose

20 liability on the FOP. But I think that — I think what

21 we're talking about probably is whether there is a limited

22 intervention for purposes of being heard on the -- on the

23 propriety of the decree or whether it's more appropriate to

24 address the propriety of the decree by hearing the issues

25 and granting the FOP amicus status to be heard as to its

20

1 objections and —

2

THE COURT: Which is, in effect, what we've done.

3

MR. ROSENBAUM: That's right.

4

THE COURT: But by calling for what I termed a

5 public hearing the last time and inviting, through the

6 media, the FOP and others to attend, in effect, I felt that

7 they were being given an opportunity not only to be heard in

8 open court but also to submit briefs and arguments which we

9 entertained.

10

MR. ROSENBAUM: We don't have any objection to

11 that being formally designated as amicus status so that it

12 has some more formal recognition than some of the other

13 parties who commented but have not moved to intervene and

14 have not filed any pleadings in the case.

15

As I said, I think the Court is obliged to address

16 the arguments raised by the FOP. But upon determining that

17 the decree does not alter the collective bargaining

18 agreement or impair the state granted collective bargaining

19 rights, that would both serve as a basis for determining

20 that the FOP doesn't have a sufficient interest in it and as

21 a basis for entering the decree.

22

One other aspect that I can think of that might

23 have some bearing on what label you put on the FOP's

24 participation has to do with appeal rights.

25

THE COURT: Yes. I think it would. In essence,

21

1 when you have a consent decree, there is generally not an

2 appeal because the two parties have fashioned the remedy and

3 have agreed to it.

4

But if you have a party who disagrees with the

5 provisions of the consent decree who is allowed to intervene

6 and then we have an appeal of the consent decree itself.

7

MR. ROSENBAUM: That's right. As opposed to an

8 appeal from a denial of intervention.

9

I think, in this case, we may end up in the same

10 place because, as I've said, the basic issue is do the

11 issues raised by the FOP have any merit. And if they don't, 12 then they are not entitled to intervene and the decree 13 should be entered.

14

And the United States would be prepared to fight

15 that battle under either Ruprecht, we think, and because of

16 the decision of the Third Circuit in the Harris case, that

17 Ruprecht, in these circumstances, it more clearly falls on 18 the side of amicus participation and consideration of the 19 arguments than on the side of the line of intervention for 20 purposes of being heard on the remedy proper and the consent

21 decree.

22

THE COURT: Yes, I did go through each of the

23 paragraphs that the FOP claims — I'm talking paragraphs of

24 the collective bargaining agreement which, I think, has been

25 referred to as the working agreement between the City of

22

1 Pittsburgh and the Fraternal Order of Police, Fort Pitt

2 Lodge No. 1, effective from January 1, 1996 through December

3 31, 1997.

4

I went through each of the paragraphs and read

5 what the FOP had to say about it and read what the

6 government and the City had to say about it in response.

7

I'll wait to hear from Mr. Campbell, but I'm

8 having some difficulty seeing that there is any direct

9 violation of the terms of the collective bargaining

10 agreement because if there was, then you would have to

11 consider another question, and that would be a supremacy

12 type issue or a Section Five of the Fourteenth Amendment

13 issue.

14

But at least so far, I am not certain that there

15 is any violation of the collective bargaining agreement.

16

MR. ROSENBAUM: That's our position as we've

17 expressed in the paper we filed which, as Your Honor noted,

18 takes each of the issues raised by the FOP point by point

19 and compares the language in the collective bargaining

20 agreement with the language in the decree to demonstrate

21 there is either no language in the collective bargaining

22 agreement as to some of the complaints raised by the FOP; or

23 where there is, we have carefully crafted a consent decree

24 so the consent decree can be implemented in a way that's

25 consistent with the collective bargaining agreement.

23

1

THE COURT: All right. Thank you. Why don't we

2 hear from Mr. Shorall, if there is anything you want to add

3 to what the United States has said, and then we'll hear from

4 Mr. Campbell.

5

MR. SHORALL: May it please the Court, the City has

6 nothing further to add.

7

THE COURT: Thank you.

8

MR. CAMPBELL: Your Honor, you raised the question

9 if there is a consent decree, what is there to intervene in.

10

Well, actually, this consent decree states that

11 there is continuing jurisdiction with the Court for a period 12 of five years. Where does our interest come from? It's 13 apparent they felt a need to include a reference to the FOP 14 in this agreement and to state that they did not intend to

15 interfere with our collective bargaining rights.

16

I asked this question under their proposed system.

17 You can have a situation where, if an officer has three

18 complaints within a two-year period of the same nature, the

19 City can, as one of their actions, transfer that officer.

20

Now, the issue becomes what, if anything, can the

21 officer do? Does the officer have any rights? Well, the

22 FOP believes, under the contract, that any transfer that you

23 have can be taken to arbitration, whether it's for the good

24 of the department or for its -- for purposes of manning.

25

Now, let's assume that that officer's transferred

24

and an arbitrator hears the case and rules that there is no

2 basis to transfer him. He should go back to his assignment.

3

Now, what's the position of the City and the

4 government at that point? I mean, are they saying, well,

5 wait a minute. You can't do that. You know, our consent

6 decree says the City can transfer him. You can't undo what

7 we're doing here. This is one of our options. That's one of

8 the things we can do.

9

I'd like to hear from the government as to whether

10 or not that is their position, whether or not we lose our

11 right, under the grievance procedure, to grieve transfers

12 which we do everyday now. The City can attest to that. We

13 have grievances that are going on all the time and some of

14 them are for the, quote, good of the department.

15

In other words, an officer is being transferred

16 because the City feels it's better to move him from one area

17 to another area. The officer has a right to do that. Now,

18 does that supersede it?

19

THE COURT: Perhaps it would be useful to deal

20 with these various objections ad seriatim and ask

21 Mr. Rosenbaum to respond to this issue and then we'll hear

22 some of the other ones that you have.

23

If nothing else, Mr. Campbell, it provides us with

24 a record that we can refer to later as to what the parties

25 intended. And that's, frankly, some of the reason for the

25

1 dialogue I'm asking the parties to engage in.

2

MR. ROSENBAUM: As to transfers, Your Honor, there

3 are transfers that can be made for the good of the bureau

4 under the collective bargaining agreement, and there are, I

5 believe and I defer to the City for this, temporary

6 transfers that can be made with more discretion for the

7 police bureau.

8

The consent decree, when it talks about transfers

9 or refinements, I'll stick with transfers, again, doesn't

10 dictate that a transfer be imposed in each particular

11 circumstance and doesn't state whether the transfer needs to

12 be on a temporary basis or permanent basis.

13

I believe, and again I'll defer to the City, there

14 may be different rules in the collective bargaining

15 agreement depending on whether it's a transfer or a

16 temporary transfer. And that may affect whether it is

17 grievable by the officer.

18

To the extent that anything may be grieved under

19 the collective bargaining agreement, the consent decree

20 doesn't take away the right to have that grievance heard by

21 an arbitrator.

22

THE COURT: Mr. Campbell, I think, posits the

23 hypothetical that the arbitrator makes an award and the

24 Department of Justice takes the position that under the

25 consent decree, that the award has to be disregarded.

26

1

MR. ROSENBAUM: It's hard to answer the question

2 in the abstract for this reason, Your Honor. If the

3 arbitrator's responsibility and prerogative is to interpret

4 a collective bargaining agreement, not to interpret the

5 consent decree, and if the decision by the arbitrator is

6 within the four corners of the collective bargaining

7 agreement, then the consent decree does not alter the

8 collective bargaining agreement. But the consent decree

9 does, if the interpretation of what the consent decree

10 requires is the prerogative of this Court and the arbitrator

11 can't enter an award, that is inconsistent with the terms of

12 the consent decree. So, in other words, there may be

13 circumstances where there is a, hypothetically, a violation

14 of the collective bargaining agreement but the City took

15 action that was required by the consent decree. At least I

16 don't think there is on its face. But there is,

17 hypothetically, the possibility of that might exist.

18

I think there is a Supreme Court case from the

19 early eighties called W. R. Grace where that kind of

20 situation arose. The company had obliged itself to handle

21 layoffs in certain ways under conciliation agreement with

22 the city but then had the collective bargaining agreement

23 that obliged the company to handle layoffs in a different

24 way.

25

And where the Supreme Court came out was to give

27

1 effect to both agreements. The company did the layoffs

2 consistent with the conciliation agreement with the EEOC but

3 then was required to pay back pay and other rights to the

4 employees who were adversely affected and had rights under

5 the collective bargaining agreement.

6

So, at least hypothetically, I don't think we've

7 got any of those situations here, but hypothetically, I

8 think it's possible. I think W. R. Grace teaches how that

9 would be addressed which is that the employee who has rights

10 under the collective bargaining agreement would not bear the

11 brunt of the City's commitments under the Federal Court

12 order but the remedy that may be provided to the officer may

13 be guided by the overriding provisions of the consent

14 decree.

15

THE COURT: See, one of my concerns is that, in

16 part, we are here today because of the failure of the

17 current system to provide systemic change such as would have

18 prevented the necessity for the Department of Justice to be

19 here in the City of Pittsburgh doing this.

20

And I don't want to give a blanket pass on

21 anything that happens through the collective bargaining

22 mechanism if that collective bargaining mechanism would

23 prevent the Court from effectuating the purposes of the

24 Fourteenth Amendment through whatever means.

25

I think then some hard decision-making has to come

28

1 as to whether some particular aspect of the consent decree,

2 while in and of itself may not seem to be important to the

3 Fourteenth Amendment or some other constitutional right but

4 in the context of the kind of systematic action which is

5 necessary to effectuate rights may be. We often see that in

6 cases to remedy discrimination where there is a lot of kind

7 of picayune little details and any one of them may not sound

8 important. But if the Court is committed to effectuating

9 the broad constitutional guarantees, sometimes they are

10 necessary.

11

I do understand what you're saying in general,

12 though, the collective bargaining process and the right to

13 grieve and arbitrate should just go on without any regard

14 until we run into a collision, if we run into a collision.

15

MR. ROSENBAUM: That's right. Then I think if we

16 have a collision, the FOP's standing and interest to

17 intervene to be heard as a party on that collision would be

18 much different than it exists today when we're in the

19 position of hypothetical theorizing whether something might

20 rise down the road that would create some difficulties.

21

But I agree that the Court, through its powers to

22 enforce the consent decree and the underlying statutory and

23 constitutional provision on which the consent decree is

24 predicated, you know, does have the power to enforce the

25 decree. And there's some case law that we've found in the

29

1 Second Circuit that addresses the consent decree the

2 government has with the Teamsters, and it talks about the

3 authority of the court to use the writs enacted to govern

4 the conduct of non-parties to the consent decree when that

5 conduct threatens to impair the purposes and the operation

6 of the consent decree after giving that party — that

7 non-party to the consent degree — an opportunity to be 8 heard.

9

So, there are mechanisms that exist for the Court

10 to be involved in the collective bargaining agreement and

11 arbitration process, if that should prove necessary down the

12 line.

13

I guess all I'm saying today is we don't have

14 anything that's right in front of us that where we're here

15 suggesting to the Court that the Court will necessarily have

16 to exercise that power.

17

THE COURT: Let's take this thing to where

18 Mr. Campbell, I think, wants to take it. Let's suppose that

19 you — and I think I'm agreeing with you — are correct in

20 saying that the collective bargaining process and the labor

21 law of the Commonwealth of Pennsylvania stays in place. And

22 if and when there is ever a collision between that and the

23 effectuation of constitutional guarantee, then we'll deal

24 with it.

25

Mr. Campbell, I think, would say, but Where's my

30

1 chance to be heard, Judge, when that collision comes about?

2 I think he wants some kind of a status here so that if, for

3 example, we had that situation where the FOP member won a

4 right under the collective bargaining agreement through the

5 arbitration process and let's say the City or the government

6 said we can't do that. It's thwarting the purpose of this

7 consent decree and we end up in court.

8

I think that that's the concern that the FOP would

9 have. Would they have rights to be affected and would they

10 have a place before this Court in being heard?

11

MR. ROSENBAUM: I think in terms of the

12 sufficiency of the interest, it would certainly be — the

13 FOP would certainly and the particular employee might

14 certainly meet that standard when we had a concrete

15 situation.

16

The issue would be one of timeliness, and while I

17 can't bind the government in perpetuation, I can say that

18 the timeliness inquiry and the intervention is a fluid one.

19 It's not simply timeliness from the time the complaint was

20 filed. All that may be relevant.

21

It's timeliness from the time that your interest

22 arose or ripened. And so, if we were in a situation where

23 the City or the United States were contending that an

24 arbitrator award was inconsistent with this — with the

25 consent decree and we're back before the Court seeking

31

1 relief, if there was a timely move to intervene from the

2 time that situation arose, then I think you'd have a timely

3 motion and a sufficient interest and the government's

4 position is likely to be much different than it is here.

5

THE COURT: We probably measure the timeliness

6 from the point where that peculiar interest arose.

7

MR. ROSENBAUM: That's correct.

8

THE COURT: I would think that that would be

9 appropriate because the FOP can't anticipate what will

10 happen to the members in the future. So that if and when

11 something does happen that is alleged to be a violation of

12 the collective bargaining agreement, then we could measure

13 the timeliness from that event.

14

MR. ROSENBAUM: Right. This is the point that I

15 had made the last time we were together when I suggested

16 that the analogy to challenge the constitutionality of a

17 statute and where there is on the face a challenge, as long

18 as the Court can determine that to enforce the statute in a

19 constitutional way, the statute will be upheld in response

20 to an on its face challenge. But that leaves either that

21 party raising the challenge or other parties to raise as an

22 applied challenge down the road in specific concrete

23 settings.

24

I think where we are today in terms of entering

25 entry in the consent decree is a nature of on its face

32

challenge to the consent decree. As long as the consent

decree can be implemented in a way that does not alter the

collective bargaining agreement or impair collective

bargaining rights, then I think that the consent decree can

be, quote, upheld which means entered with everybody

recognizing that over the course of the lifetime of this

consent decree, there may be specific occasions where the —

where the assessment of the relationship between the

collective bargaining agreement and the consent decree is

10 different in kind because we've got a concrete setting in

11 front of us.

12

And then I think that would entail both a judgment

13 at that time about who has the right to intervene and be

14 heard about that specific conflict, and a ruling as to that

15 specific conflict about what the consent decree means in

16 relation to the collective bargaining agreement.

17

THE COURT: I think what you've just said has been

18 a great help to me. Intellectually, there is a question of

19 whether the employee unit has any say so where it's not

20 liable and where the City of Pittsburgh has the legal duty

21 and constitutional duty to operate the police department in

22 accordance with the Constitution.

23

So, as — in terms of proposing the consent

24 decree, while they may be heard, it was bothering me to

25 think of the employee group as an intervener. But what

33

you've said clarifies for me, at least, the notion that this

group if it were directly affected by the implementation of

the decree should have some right to be here. So it's one

thing about what goes into the decree, that may be a city

prerogative or at least it's more clearly so.

6

But when it comes to a question of implementation,

7 then I think we have an actual injury or claimed injury that

8 should be heard or at least there should be a forum for it

9 to be heard. I think what you're saying that that could be

10 done on a case-by-case basis. If we did not allow that

11 intervention, there would still be that opportunity.

12

MR. ROSENBAUM: That's right. I'm saying that the

13 denial of intervention at this time would not preclude

14 intervention at a later date to address a specific

15 controversy by implementation of the consent decree.

16

THE COURT: All right. Mr. Campbell, . I know we

17 kind of went off in a different direction from what you were

18 talking about.

19

I was trying to get a sense for protecting the

20 rights of the people that are in the collective bargaining

21 unit. At the same time respecting the City's prerogative to

22 fulfill its duties, I don't want to do anything that's going

23 to interfere with the City's initiative in getting this

24 consent decree effectuated.

25

MR. CAMPBELL: Well, I think if the Court looks at

34

1 the paragraphs that we've raised and the items, we haven't

2 tried to really tread on the areas that are strictly

3 management rights. We didn't challenge the whole concept of

4 this consent decree.

5

I think, what we did, we attempted to challenge

6 them in the areas where we feel we have collective

7 bargaining rights.

8

Now, let me just pose another scenario and see how

9 the parties would react to this because to me, this is the

10 key to our complaint against this proposed decree.

11

There is a term that's used on certain complaints

12 that they will be found not resolved. And if you have three

13 similar type complaints that are not resolved within a

14 two-year period, the City is to take certain action.

15 If you have five of any type that are not resolved, the City

16 is to take action. That is — this is the agreement between

17 the government and the City.

18

As far as the FOP is concerned, implicit in this

19 is even though there has been no finding, you're being found

20 guilty of something because they are sending you back for

21 retraining. They are putting with a field training officer.

22 They are going to transfer you. They are going to reassign

23 you. 24

Now, let's presume the FOP, in exercising our

25 collective bargaining rights under Act 111, seek to remove

35

1 that as one of the standards that OMI can find. In other

2 words, it's all are nothing. You're either innocent or

3 guilty of the charge. There is no not revolved.

4

In other words, we can't decide one way or the

5 other. In other words, the officer is saying, either you

6 tell me that the evidence isn't sufficient, or if you think

7 it's sufficient, give me a right to be heard and have it

8 determined by some neutral party whether or not I did what

9 I'm accused of.

10

I believe it's the feeling of the majority of the

11 Pittsburgh police officers that for the period of five years

12 that this is in effect, that they would like the right, when

13 they are accused, they'll stand before their accuser, and

14 they will let somebody hear their case, and they will let

15 them determine it. And if they determine that they did

16 something wrong, then that will be the basis for taking

17 action against them, not because the matter ends up being

18 not resolved.

19

Well, we really couldn't say that you did it, but

20 we're going to send you back for retraining or we're going

21 to transfer you out of the detective division. We're going

22 to put you back on the street. To the police, this is a

23 punishment.

24

Let's assume under Act 111, which provides that

25 the arbitrator can grant whatever the employer can do

36

1 voluntarily, so the City voluntarily, in theory, could

2 eliminate this finding of not resolved and make it all or

3 nothing. You are either innocent or guilty of the charges.

4

Now, at this point I think this takes away the

5 government's early warning program. In other words, where

6 officers aren't really being punished, but we're sending

7 them for retraining and we're going to reassign them on the

8 basis that there is a trend developing here.

9

It's really punishment without any due process

10 rights as far as we're concerned.

11

Now, assume an arbitrator says that. Would the

12 government and the City come in and say wait, and say he had

13 no power to do that.

14

THE COURT: It's possible.

15

MR. CAMPBELL: That's where they are taking away

16 our collective bargaining rights.

17

THE COURT: That's possible, too. Now, we're into

18 the affecting constitutional rights and what is necessary to

19 do that.

20

What the experts have opined is that in most

21 police departments, the acts — excuse me. I've got a

22 terrible cold — that give rise to the citizen complaints

23 are generally engaged in by very few officers but they

24 generate huge numbers of complaints. The City becomes

25 responsible, as the municipal entity, or can if it fails to

37

1 take action because of that. And one of the techniques for

2 dealing with it is, in fact, identifying early on people who

3 have a high incidence of complaints, even if they aren't

4 found to be guilty and then doing something about it.

5 That's this whole notion of early warning.

6

The cities that have done it, according to the

7 experts, have found that they have been able to reduce both

8 generalized complaints of misconduct and specific complaints

9 of misconduct as to that officer.

10

Now, that's why we're here. We're talking about

11 responsibility of the City to do something about what the

12 Department of Justice says is a pattern of wrongful conduct

13 which the Department of Justice claims and the City, again,

14 that the City didn't effectively address.

15

MR. CAMPBELL: But we're willing to go a step

16 further. But in effect, the government and the City is

17 telling us we're not permitted to do that.

18

In other words, our position on this is, we don't

19 believe that this pattern exists. We don't believe that

20 there are that number of officers that are out there, and we 21 want to prove it by actually giving them a right to have the

22 case heard and have a determination made whether or not they

23 did what they are accused of, or they are innocent of what

24 they are accused of. If they are guilty with progressive

25 discipline, they'll be off the job. If there are officers

38

that are out there everyday abusing people, violating their

rights, we're not here to protect them.

But on the other hand, don't take some officer,

make an accusation against him, and say, well, we can't

prove you did do it, but we're going to hold it against you.

You know, we have to protect these officers from people

7 making wild accusations.

8

I mean, I have a police report I can make

available to the Court. I don't want to go through the

10 whole detail — because it involves a minor — using the

11 names. But basically, what was involved in this case, and

12 it's taken place since this litigation started, is this is

13 an officer that's in the COPS (spelled phonetically) program

14 and his idea is to work with neighborhood groups and it's a

15 new concept and it's apparently working.

16

A number of parents come to this officer and say

17 there is an eleven-year old who is bullying, who is beating

18 up everybody in the neighborhood. He's beating up every

19 little kid that gets off the school bus. He's terrorizing

20 the neighborhood.

21

Now, the officer goes to the home to talk to the

22 parents to see if they can control the boy, or they can do

23 something to see that he's not terrorizing these kids at the

24 bus stop. And the father comes down — and well, I won't

25 use the language he uses, but he was using foul language on

39

1 the officer, telling him he had no right to be there, that

2 he had no reason to be looking into the behavior of his son,

3 to mind his own business, and then he adds, by the way, what

4 is your badge number, he said, because I'm going to file a

5 complaint against you and you know what complaints can do.

6

You know the veiled threat is, if you come around

7 here and bother us, I'll file complaints against you. And

8 if you get enough complaints, then we'll see if you remain a

9 COPS officer here. I'll get your job.

10

Now, that's the reality of what the officers have

11 to face. I'll make that police report available to the

12 Court. I'll make it available to the parties, but you have

13 to understand from the point of view of the police officer,

14 they can't go out there and do their job with this kind of

15 threat hanging over their head.

16

THE COURT: What you pose is a possibility, and I

17 can see where there could be some concerted action on the 18 part of citizens to frame an officer by filing unwarranted 19 complaints, but I doubt whether that situation has arisen.

20

And the only thing I can say is that the City's

21 interest would be as strong as the police officer's interest

22 in protecting against that kind of unfounded conspiracy 23 against police officers. So, the City would have no 24 incentive not to try to keep effective law enforcement.

25

MR. CAMPBELL: Yes. But what I'm suggesting is,

40

1 given a complaint like that, if that person filed that, that

2 would come under the heading of not resolved. It's a

3 swearing contest. It's the officer's word against this

4 individual's word. This is a conversation that takes place

5 between two individuals. There is no third party present.

6 So, that's a not resolved. That officer has to walk away,

7 under this plan, knowing that's strike one. He's got strike

8 one against him. He has no way to ever get that out of his

9 file for the rest of his career. That stays with him even

10 after he leaves the job according to this consent decree.

11

That's why what we're saying is if during the

12 period of this consent decree, these officers should have

13 some right to get these things resolved, they shouldn't be

14 stuck with a not resolved in their file. They are going to

15 add up over the years. There can be no merit to it, and

16 they are going to be pursued.

17

THE COURT: I'm not sure that's true. The experts

18 say that there is a probability — I'll get to the word — a

19 causal, causal connection between the number of complaints

20 and the potential that the officer is involved in this

21 conduct. If that were true, we wouldn't keep arrest records

22 for lifetime history of people who get arrested. There is a

23 presentence investigation report that I get that doesn't

24 have the person's arrest record from juvenile, from before

25 they were 18 years old right up until the time that they are

41 1 in front of me in court. That's because people have

2 established some causal connection and as the officers will

3 often say, well, this person has been running through the 4 rain drops for 22 years and he finally got nabbed.

5

So, the point is, at least from what the experts

6 say, there is some effective usage of the complaint

7 incidents and that's why the records are kept. It may be

8 that some of the complaints were unfounded but that is the

9 problem. I don't see that it's a whole lot different from

10 the arrest records that citizens gets that go with them for

11 life.

12

MR. CAMPBELL: Well, you can go to court and get

13 that expunged.

14

THE COURT: Not necessarily, not easily.

15

MR. CAMPBELL: Well, it can be done but what they

16 are saying here, effectively, an officer can never get his

17 record expunged. He doesn't have the right a citizen has.

18

THE COURT: All right. Well, I'd like to hear

19 what the government has to say as a response to that, if

20 there is any. It might be that there isn't.

21

MR. ROSENBAUM: Just a couple of things to

22 highlight, Your Honor, in response. As the Court noted,

23 both expert affidavits, Lou Reiter and James Fyfe's

24 affidavits, address the issue of early warning systems and

25 address the reason why major metropolitan police departments

42

and major police organization have suggested that early

warning systems be used and why it's appropriate to take —

for police management to look at officers who are generating

substantial numbers of complaints, whether or not they are

determined to be well founded. Because if there are

6 officers who get a series of similar complaints over a

7 period of time or a substantial number of complaints over a

8 period of time, they are worth looking at.

9

Now, the decree, when there is not a finding that

10 the — a cause finding in response to the complaint, the

11 decree does not require that that any discipline be imposed.

12

THE COURT: That's what I thought. It does require

13 that the records be kept of this complaint.

14

MR. ROSENBAUM: It requires that the records be

15 kept and it requires, like our discussion earlier about

16 paragraph 27, when a court finds that there has been an

17 unreasonable search and seizure. Similarly, when there are

18 three similar complaints over a two-year period or five of

19 any kinds of complaints over a two-year period, that is an 20 event that requires police management to take a look at the

21 officers and the complaints and the circumstances and decide

22 what kind of non-disciplinary action may be warranted.

23

So, it is — there is a uniform trigger but the

24 assessment of that individual officer and the kinds of

25 complaints that were filed and what lie — what lies behind

43

1 a finding of not resolved are all supposed to be assessed by

2 the police bureau supervisors before deciding whether

3 remedial training assignment to a field training officer,

4 counseling, transfer or reassignment is appropriate.

5

What Mr. Campbell does is probably what I would do

6 in his shoes is try and create a parade of harms and take

7 this officer, who is clearly not culpable of anything and 8 was set up by the complainant, and posit that the police

9 bureau is going to take the most drastic action, not

10 disciplinary, and count against that officer.

11

That's not — the decree is not designed to have

12 that happen. And the decree is simply designed to give 13 management the information it needs and the tools it needs 14 to identify officers who may have problems that can be 15 addressed through non-disciplinary mechanisms. But it does

16 not require that any sort of -- it's not a sentence 17 guidelines approach to all of this. It still rests with the

18 discretion of the police supervisors.

19

But as our experts note and as we believe, this

20 kind of mechanism is critical to giving the police

21 supervisor the information they need to make judgments and

22 to try and solve problems before they get serious and to

23 require that the police supervisors do just that.

24

The collective bargaining agreement does not

25 define the categories of determinations that the City can

44

1 use in its complaint process. They have been in existence

2 for sometime. The collective bargaining agreement, as we

3 identified in our papers, has certain requirements as they

4 relate to what are called unfounded complaints and certain

5 rights that adhere to the officer to grieve cause findings

6 when discipline is imposed.

7

But the bargaining agreement itself does not

8 address, except in this limited area, how the City

9 investigates complaints and what categories of complaints,

10 categories of disposition that the City can use.

11

THE COURT: All right. Mr. Campbell, there are

12 probably other sections you want to deal with. I'm not sure

13 that that explanation was entirely satisfactory, but at

14 least there is some indication on the record of how the

15 Department of Justice views this consent decree. Unless I

16 hear something to the contrary from the City, I'll assume

17 that the City agrees with that interpretation.

18

MR. CAMPBELL: Your Honor, some of the — one of

19 the other matters that has been raised, and it's my

20 understanding that this is a matter of state law — and that

21 is that officers must give recorded statements. And I don't

22 believe, without someone's consent, you can tape record a

23 statement that they give under these circumstances. We've

24 raised that issue. It's permissible and I know it's done a

25 lot of times in private enterprise where you want to tape

45

1 somebody, you ask their permission and you get it on the

2 tape. But we don't feel an officer can be compelled to do

3 that.

4

Now, the government and the City have taken the

5 position that this is legal but we feel it's not legal.

6 We're saying it can be done if the officer consents to it.

7

Another problem we also have, and we've raised

8 this, and the parties don't want to seem to address it is

9 the conflict of interest that we feel exists between the

10 City Law Department. In the sense that the City Law

11 Department is also in charge of — the head of the City Law

12 Department is in charge of not only the law department but

13 OMI.

14

And to me, just on the face of it, it smacks of a

15 conflict of interest. And especially in the area where we

16 have litigation and the City might determine that they are

17 going to settle this litigation. Now, the officer may be a

18 party to the litigation, and as far as he's concerned, he's

19 not going to settle it at all. He's willing to go to trial.

20

But because the City wants to settle it, the

21 litigation goes away and then the head of the City Law

22 Department, who's just decided to settle that case, now, in

23 the capacity of head of OMI, is going to discipline the

24 officer. That's clearly a conflict of interest.

25

The party who makes the decision to settle the

46

1 litigation can't turn around then and be in charge of the

2 disciplinary procedure that's going to take place against

3 the officer.

4

I don't know why this has ever happened. It used

5 to be that the Office of Professional Standards or OPS,

6 whatever it was, answered directly to the mayor. The person

7 who has the ultimate responsibility for running the City,

8 and we've raised this issue at both the City and the

9 government. We feel what's going to happen is, somebody is

10 going to be punished or terminated, and we're going to raise 11 this issue, and we're going to get the matter overturned. 12 We are just raising it now and we hope that they correct it.

13 There is no need for it to exist, and I'm putting everybody

14 on notice that it is going to be raised if discipline action 15 is taken against somebody.

16

THE COURT: Well, even within the same situation

17 where there is sufficient bifurcation of adjudicative and

18 investigative responsibilities, you can have that situation

19 including under Pennsylvania law. Pennsylvania law frowns

20 upon the same body acting as both prosecutor and

21 adjudicator. But if there is a sufficient distance between

22 the two, it may be proper.

23

Now, what I'm gathering here is that the gravamen

24 of your complaint is with the City Law Department because

25 you said it would be okay if it was the mayor but yet, both

47

1 are in the executive branch of the City, and the gravamen of

2 your complaint is a distrust or whatever of the City Law

3 Department.

4

What I'd be more interested in is whether the

5 adjudicative body of OMI has a sufficient independence from

6 the City Law Department or the executive branch, if you

7 will, that it could be considered a place where a fair and

8 impartial hearing could be conducted.

9

MR. CAMPBELL: Well, it can't be when who is the

10 head of the law department is also the head of OMI.

11

THE COURT: But nobody from the law department

12 sits as one of the deciding members of the OMI, as I

13 understand.

14

MR. CAMPBELL: No. Everybody in OMI, they answer

15 to the person who is the head of the law department. In

16 other words, whoever is the head of the law department at a

17 particular time is the head of OMI. That's the person that

18 the head supervisor there answers to. That's my

19 understanding of how it works and to me, I agree with you.

20 They should be independent especially in light of what they

21 are — the expanded powers they have under this consent

22 decree.

23

THE COURT: Well, if the citizens, at least some

24 of them, have their way this next election, there will be an

25 entirely different mechanism. I don't know what's going to

48

come of that.

MR. CAMPBELL: Actually, that mechanism isn't

3 designed to replace OMI.

4

THE COURT: Well, I don't know.

5

MR. CAMPBELL: They haven't shown any decision to

6 handle day in and day out complaints about police officers.

7 They want to save their powers for the spectacular case or

8 j the big case.

9

THE COURT: Well, I don't know but you see, it's

10 not at all uncommon for an entity, which is the employer of

11 an employee, to have the responsibility and duty to settle a

12 lawsuit and then have to deal with the matter of the

13 disciplinary action, if any, against the employee

14 separately.

15

Let's take, for example, the many corporate

16 entities that we have where an employee is charged with

17 sexual harassment or some violation of Title 7. The company

18 has entirely within its prerogative to assist the situation

19 and to decide to settle the case, and that's entirely

20 separate of what action, if any, it takes against the

21 employee. It may be that it takes none. That the case was

22 settled for other reasons and not because they believe it

23 was guilt. So, I don't think you can remove the prerogative 24 of the agency of government, which is the City, to settle 25 those cases that the City believes are appropriate to be

49

1 settled.

2

MR. CAMPBELL: No. No, I don't disagree with

3 that, Your Honor. But what I disagree with is that the

4 person who settles that case makes that decision, then puts

5 on another hat and sits in charge of an investigation of the

6 police officer.

7

Now, I've suggested to the City there is an easy

8 way to resolve this. The bar association, for example,

9 attorneys will take a situation where there is potential

10 conflict of interest and give you an answer to it. I would

11 suggest the City do it because if it's sometime down the

12 road, it's not done and somebody raises that, the City is

13 going to open themselves up to great liability as far as I'm

14 concerned.

15

THE COURT: That, I think, is the kind of

16 fine-tuning that I wouldn't be in a position to effectuate.

17 I mean, it's not really a part of the consent decree. The

18 consent decree assumes the existence of the OMI. The

19 existence is an effective mechanism to effectuate the

20 purposes of the consent decree and another interest, is it

21 fair. Is it a fair way for an officer to be heard? From

22 what I've heard, it is.

23

MR. CAMPBELL: Well, I'm making this argument as

24 much to the parties as I am to the Court because I mean,

25 it's been raised and I understand it's not for you to

50

1 determine today.

2

But I think it's a problem that, you know, that's

3 going to come up in the future. And possibly, we may be

4 back down here intervening, as Mr. Rosenbaum said we might

5 be able to, on the basis of the way this is being run.

6

THE COURT: I think that's possible. I'm looking

7 at the clock. It's just about 11:00. And I wouldn't doubt

8 that your court reporter needs a little bit of a break.

9 However, why don't we take a ten-minute break and then we'll

10 come back and finish with the balance of the matters

11 pending.

12 (Whereupon, recess had.)

13

THE COURT: Mr. Campbell, I was thinking about

14 what you said about the Pennsylvania wire tap statute, and

15 I'll agree that it's a very strict type of statute. I think

16 Florida is the only other state with a comparable statute,

17 and it, of course, provides privacy protection far beyond

18 the federal law, but I don't recall whether it requires

19 consent or knowledge to the tape recording. And there is a

20 difference because the statute is found under the privacy

21 provisions of the Pennsylvania law. And of course, the

22 officer's privacy wouldn't be violated even if he didn't

23 consent so long as he knew that or she knew that the

24 conversation was being tape recorded.

25

Now, I don't know, I haven't looked at that

51

1 statute in years, but it is a very strict one. That may be

2 something that we'll have to take a look at. But it's my

3 guess that the statute is on privacy. That would not — the

4 proposed procedure would not impact privacy rights or would

5 not have any impact on privacy rights. All right.

6

MR. ROSENBAUM: Your Honor, I'm sorry. If I may,

7 on that very issue, I would direct the Court's attention to

8 a decision called Commonwealth versus Christopher 620 A2d.

9 449. It was decided in 1992. The court there — the court

10 held in Christopher that a client who secretly taped his

11 conversation with a county social worker, in public office,

12 did not violate the statute as to — the social worker had

13 no expectation of privacy with regard to the conversation.

14 And the court cited the test in determining what constitutes

15 a justifiable expectation of privacy in communication in the

16 following language. To determine whether one's activities

17 fall within the right of privacy, we must exam first whether

18 an appellant has exhibited an expectation of that privacy,

19 and second whether that expectation is one that society is

20 prepared to recognize as reasonable.

21

So, it would be our view that a police officer in

22 a setting where a police department can require the officer

23 to respond to allegations about his conduct can determine

24 the way in which that response is made, there is no

25 expectation of privacy.

52

1

THE COURT: Frankly, I would think it would be as

2 much for the protection of the officer as for the protection

3 of the interrogator. Because it's possible that people

4 would become overzealous in their job of investigating the

5 officer and perhaps maltreat the officer. The tape would

6 provide a written record of that kind of overreaching

7 behavior or other misbehavior on the part of the questioner.

8

MR. ROSENBAUM: In fact, in some states, the

9 statutes have been passed requiring that they be taped, and

10 it's been at the instance of the police officer

11 representatives. Presumably for that very reason.

12

THE COURT: Right. I know it's long been the

13 practice of the City homicide department to tape record all

14 statements made by suspects or defendants in a criminal

15 homicide case. It's just about as long as I can remember.

16 I don't think there is anything particularly unusual about

17 this requirement in connection with the interview with a

18 police officer regarding the complaint.

19

MR. ROSENBAUM: In fact, the collective bargaining

20 agreement recognizes that that might happen and requires

21 that transcripts be provided.

22

THE COURT: All right. Thank you. The next

23 matter we have to deal with is the motion of the Williams

24 plaintiffs to consolidate the case at 96-560 with 97-354.

25

And as I've indicated, the United States has

53

1 responded essentially saying it's all right with us as long

2 as it doesn't delay implementation of the consent decree.

3

The City, however, has opposed the permissive

4 joinder under Rule 24, and I think I can understand some of

5 the City's concern.

6

While this litigation, at least as active

7 litigation, will become quiescent upon the entry of the

8 consent decree, there is this rather large body of

9 litigation that we've referred to collectively as the

10 Williams plaintiffs which is the class action lawsuit that's

11 pending. And I think I can understand some of the City's

12 discomfiture in perhaps working side by side with a party in

13 the implementation of this consent decree and at the same

14 time defending in the class action case or the number of

15 individual cases that might arise from the class action.

16

So, in any event, that is pretty much what I've

17 seen and I'll hear now from the Williams plaintiffs.

18

MR. O'BRIEN: Good morning, Your Honor. We have

19 filed the motion to consolidate these two cases and for

20 several reasons. First, historically, of course, our

21 lawsuit was filed eleven months ago, essentially, setting

22 forth the same allegations that the Justice Department's

23 lawsuit makes against the City of Pittsburgh.

24

And with the consent decree, it purports to

25 provide the injunctive relief sufficient to put an end to

54

1 the practices that we sought to put an end to.

2

We are, I think, inextricably bound together here

3 in terms of these two lawsuits. First, I would point out to

4 the Court, as the Court knows, that virtually every other

5 lawsuit that has been filed involving the City of Pittsburgh

6 has been consolidated with the Williams case. Those cases

7 involve damages. So that's different. But our motion here

8 seeks to consolidate strictly for the purpose of injunctive

9 relief. I think there are many good reasons for the Court

10 to do that.

11

First, in our lawsuit, all the parties that are

12 interested in this particular relief are before the Court,

13 the City is before the Court, FOP is before the Court, the

14 66 plaintiffs and the purported class, and the Justice

15 Department has no opposition to the consolidation.

16

So, if the Court consolidates, we've now put

17 everybody together in one place.

18

THE COURT: What would be gained by putting the

19 two cases together? As you know, it doesn't change the

20 burden of proof or any other matter in the Williams

21 litigation. So, I'm just trying to figure out how this

22 would be of assistance?

23

MR. O'BRIEN: It's of assistance in that the

24 consent decree is a piece of paper that this Court,

25 hopefully, will sign and make a matter of record.

55

1

The real test of this document will be in its

2 implementation and its effectiveness. And that's not going

3 to be known for another five years.

4

So, whether it will be implemented, whether it

5 will be effective, we don't know who the next mayor is going

6 to be, whether it's going to change. We don't know if the

7 same people at the Justice Department who have an interest

8 in the document will be there next year or two years from

9 now.

10

So, the real test of this document is

11 implementation and effectiveness. And we, the plaintiffs,

12 who brought this lawsuit on behalf of a class, have a vital

13 interest in an ultimate result.

14

Our request for injunctive relief, based on this

15 document most appropriately may be stayed by this Court

16 pending whether this is effective or not but that request is

17 still there.

18

And as we have indicated to the Court, we feel

19 that our class should be certified so that we can monitor

20 the effectiveness of this agreement. If that's the case,

21 then it all ought to be in one place.

22

As I said, the FOP is a part of our lawsuit. If

23 issues arise, this would be the appropriate place to be, all

24 in one lawsuit. Ultimately, this Court, if there is going

25 to be a change in this consent decree, we, as the

56

1 plaintiffs, would have to be involved in that to be aware of

2 that because it may affect the class. It may affect the

3 class rights.

4

THE COURT: Well, see, the commonality is really

5 the pattern and practice type conduct that the government

6 alleged and the City denied.

7

MR. O'BRIEN: Correct.

8

THE COURT: What happens is the government comes

9 in under the statute which requires it to make a complaint

10 of the City's pattern and practice of ignoring or otherwise

11 condoning this alleged misconduct but the consent decree

12 doesn't admit fault.

13

So, what remains to be litigated in the Williams

14 case, and what may be a common issue of fact or law which is

15 why we consolidated them all in the first place, is this

16 question of pattern or practice.

17

Now, I have been wrestling with the idea of

18 whether there is a mechanism whereby the pattern and

19 practice could be established so that it wouldn't have to be

20 done sixty some odd times.

21

You know, I think that when Congress enacted

22 Section 14141 as part of the Omnibus Crime Control Act, in

23 part, it was in recognition of the limitations of Section

24 1983.

25

And there had been some attempts by government

57 1 attorneys, I remember Mr. Vaira (spelled phonetically) in 2 Philadelphia bringing a suit against the Philadelphia Police 3 Department and being promptly thrown out of court because he

4 didn't have standing.

5

Congress, I think, in enacting this section

6 recognized the difficulty of individual plaintiffs

7 establishing the requisite proofs of pattern and practice. 8 And I think we've discussed before the other question of how 9 many times do you have to prove it. Is there a collateral 10 estoppel type effect.

11

As you know, there is a case already decided by

12 this circuit in which the circuit, in very strong language,

13 ruled that there was such a pattern and practice. I think

14 that was Justice Rosen's decision.

15

In any event, I have been trying to think of a

16 mechanism but I can't see how putting the Williams case with

17 this case helps it. But maybe I'm missing something if

18 there is something.

19

MR. O'BRIEN: I think for clarification, the

20 damages issue, the damages claims are separate. All we're

21 talking about here is consolidating this for purposes of

22 injunctive relief. At some point in time, this Court is

23 going to have to decide whether our claims for injunctive

24 relief is moot.

25

THE COURT: Yes.

58

MR. O'BRIEN: This consent decree sits in the

middle of our claim for injunctive relief. If the consent

3 decree is adequate, this Court will have to address the moot

4 position. The Court is going to have to determine if this

5 consent decree is being implemented effectively.

6

We, as the plaintiffs' class, we're the only

7 parties before this Court who have actually been injured by

8 the alleged unconstitutional practices. We're the only

9 people before this Court who were here a year ago saying,

10 here's the problem. Something has to be done. We're the

11 ones who have been knocking on the door all this time to get

12 it open, to let people see and to make changes.

13

Now, this consent decree purports to do that. And

14 it's our position that having filed a class action and

15 having sought this relief, we are entitled to have this

16 Court certify that class just like it would in any other

17 kind of a settlement, to allow the class to monitor what is

18 going on for purposes of injunctive relief.

19

And if we're correct on that aspect of the case,

20 on that aspect of the issues, then these two cases, for

21 purposes of injunctive relief, should be consolidated.

22 There is no downside to this.

23

Assume that you don't consolidate these two cases.

24 If an issue arises regarding this consent decree, we're

25 going to have to come before the Court. If we get

59 1 information that this is not being complied with, we're

2 going to have to come before the Court.

3

We are the likely parties before this Court that

4 will have any information about non-compliance. I don't

5 think it's a misstatement to submit that in the community,

6 both amongst lay people and lawyers, we are the people that

7 parties come to to tell us about misconduct, that tell us

8 about problems.

9

We should not be separated from this lawsuit.

10 Much of what went into the Justice Department's lawsuit was

11 information that we had acquired. Information that we were

12 developing. That's not to take anything away from what the

13 Justice Department did or the amicable agreement that they

14 have reached but that is a fact.

15

THE COURT: Maybe it's — maybe it's just that I

16 haven't dealt with this particular issue before but you see,

17 in order to be afforded the kind of relief that the

18 plaintiffs' seek in the injunctive equity part of Williams,

19 it's necessary that the Court find this pattern and

20 practice.

21

MR. O'BRIEN: We are not asking to be made parties

22 to this consent decree. We are not asking that — the only

23 parties to the consent decree will be the City and the

24 Justice Department.

25

What we are saying is that for purposes of

60

1 implementation and monitoring, that we have a right to, in

2 fact, monitor this as representatives of the class. If you

3 don't certify the class in the Williams case, then all we

4 have are 66 separate damages actions going forward. And

5 three years from now, if those cases are resolved, there is

6 no mechanism for us as the class representatives to insure

7 the effectiveness of this decree.

8

There is no reason, there is no -- by certifying

9 this as a class, we're not saying that we're a party to this

10 consent decree. We are not saying that we can change the

11 terms of the consent decree. But we are then at least

12 before this Court whenever the City, whenever the Justice

13 Department and whenever the FOP are before this Court with

14 respect to this consent decree.

15

It could be that when a consent decree is entered,

16 that for the next five years, it will go perfectly, and

17 nobody will have any complaints. And at the end of five

18 years, there will never be another complaint of misconduct.

19 Thank God.

20

But that may not be the case. And there is going

21 to be information in the legal community, in the community

22 at large that may bear on the effectiveness of this consent

23 decree and the implementation of that consent decree.

24

And the plaintiffs, in their representative

25 capacity, Your Honor, are in the best position to receive

61

1 that information and provide that information to the Court.

2 I don't see a downside here.

3

The City complains that, well, that's making the

4 plaintiffs' a party to this. We're not asking for that and

5 that's very important. What we're saying is that if you

6 take these two lawsuits, the Williams case and the Justice

7 Department's case, they are identical.

8

The relief we sought is now purportedly granted in

9 this consent decree. And during the period of its

10 implementation, we, as the plaintiffs and the class

11 representatives, should be in a position to monitor this

12 just like we would in any other class action where

13 injunctive relief is sought.

14

THE COURT: I think I understand and it may be

15 that it's a question of what comes first. Your right to

16 monitor depends upon proof of what you claim, that there is

17 a pattern and practice. And even though there is a consent

18 decree, we don't have that proof because we don't have an

19 admission by the City that it exists. So, it may be

20 that this right that you're claiming is not yet

21 established.

22

MR. O'BRIEN: Here's my point on that, Your Honor.

23 I don't think that's necessary if you look at it from a

24 procedural point of view that we posit is the correct one

25 here.

62

Before the Court in the Williams case is the

motion for class certification. That class certification

3 goes exclusively to the issue of injunctive relief.

4

We believe that we meet all of the elements for

5 the class to be certified. If the class is certified, then,

6 as the class representative, all we're saying that we want

7 to do at that point is to monitor what is going on in a

8 consolidated case.

9

We don't intend on showing that there has been a

10 constitutional violation. It's just a procedural issue for

11 the Court to decide, i.e., whether the requirements of the

12 class action elements have been satisfied.

13

If the class is certified, all we're doing then is

14 we have a legal representative capacity where we can monitor

15 this by whatever means we choose to employ. It may be that

16 we'11 monitor this based upon what we hear from the

17 community. We'll monitor this based upon what lawyers in

18 the area tell us. Keeping in mind that people come to us

19 because we were there first. We brought this lawsuit and we

20 are identified with this remedy.

21

If you take us out and we're not in that class

22 certified status and the cases aren't consolidated, then I

23 think that the Court loses that view of what's going on and

24 takes us out of the relief. Even though we're not a party

25 to relief, we don't have a party to the relief.

63

1

I realize that it's a little bit complicated but

2 the important points are this one. We're not seeking to be

3 a party to the consent decree, not necessarily. We are

4 seeking class certification and the reason that we believe

5 the class should be certified is so that we can monitor the

6 effectiveness and the implementation of the consent decree

7 which, I believe, we are entitled to be able to do that

8 since we brought this as a class action.

9

THE COURT: I understand.

10

MR. O'BRIEN: That's our motion.

11

THE COURT: All right. Mr. Shorall, I suspect you

12 have something to say about that?

13

MR. SHORALL: I do, Your Honor. If it please the

14 Court, Your Honor, if I may address certain of the issues

15 that were raised by Mr. O'Brien.

16

In the first instance, there is not a

17 consolidation — pardon me — there is not a class

18 certification at this point in time and that is something

19 which has been vehemently opposed by the City in the briefs

20 it has filed with this Court.

21

Moreover, Your Honor, the assessment by the Court

22 is clearly correct. The viability of the Williams case

23 depends in all regards upon the underlying causes of action

24 that have been advanced by the individual plaintiffs.

25

The Court correctly indicates that there have been

64 1 discussions as to the proof that may be available with

2 regard to pattern and practice so that 63 of those pattern

3 and practice cases need not be tried.

4

But the fact of the matter is, Your Honor, none

5 has been tried. The City has not admitted a pattern and

6 practice and to permit a consolidation which, in the first

7 instance, the Williams plaintiffs have no standing request,

8 would clearly give to the Williams plaintiffs the imprimatur

9 of the Court that they have, in fact, proven a case which

10 they have not.

11

The Williams plaintiffs cannot have a claim

12 against the City which is cognizable on relief until such

13 time when they have individually proven that there has been

14 a deprivation of their individual rights and that that is as

15 a result of a pattern and practice.

16

THE COURT: See, I don't agree with that. I think

17 they can have a class action for the purpose of alleging

18 common issues of law and fact as to their injuries and as to

19 the City's responsibility which is, of course, the pattern

20 and practice case.

21

MR. SHORALL: Clearly. But their relief would not

22 be available until such time as that was proven.

23

THE COURT: Exactly. They couldn't get individual

24 relief in the form of damages.

25

MR. SHORALL: Or collective removal until that was

65

1 proven because until they met their burden of proof which

2 they need do, there is no ability for the Court, either in

3 its own right or through a jury, to enter any relief against

4 the City.

5

We've not come to that point where there has been

6 any proof whatsoever and the City has not admitted, as the

7 Court correctly notes, any liability in the consent to the

8 consent decree.

9

Moreover, Your Honor, the Williams plaintiffs are

10 attempting to do indirectly which they could not do

11 directly.

12

There is no right for the Williams plaintiffs to

13 participate pursuant to 42 U.S.C. 14141. That's clearly a

14 case to be brought by the United States with respect to the

15 City of Pittsburgh or any government.

16

Moreover, Your Honor, I think that the Court

17 correctly notes that for or has correctly inquired of

18 Mr. O'Brien for the Court to grant any type of monitoring

19 right to plaintiffs, who have not proven a case against the

20 City, which case is contested and is in discovery through a

21 consolidation with a case which necessarily becomes moot, if

22 the Court enters the consent decree is an inappropriate

23 method to proceed. There is an auditor in place, Your

24 Honor, and ultimately, that auditor's reports are made

25 public and are submitted to you.

66

1

We would suggest, Your Honor, that any monitoring

2 by the Williams plaintiffs, as suggested, is not permissible

3 within the terms and conditions of the underlying statute

4 but also is surplusage. The auditor's role is particularly

5 for that reason, and the auditor is going to be determined

6 in conjunction with the Justice Department and this Court

7 plays a role as well.

8 [

So, with all due respect to Mr. O'Brien and to the

9 63 Williams plaintiffs, we believe that their participation

10 through consolidation is, in the first instance, not

11 warranted, and in the second instance would be inappropriate

12 to be granted by this Court.

13

THE COURT: All right. I've been trying to figure

14 out a way in which we could try this common issue of law and

15 fact related to the pattern and practice because, as you

16 know, to prove that, as your discovery shows, it gets pretty

17 fact intensive as to what the City knows and what it has

18 done and what it has failed to do and so on.

19

I don't want to interfere with that opportunity.

20 So, I think what I'm going to do is take the matter of the

21 consolidation under advisement until I have a chance to

22 think this through, and also until I have a chance to

23 explore some mechanism where we can intelligently approach

24 the pattern and practical issue on a consolidated basis, if

25 we can.

67

1

One of the things that concerns me, under 1983,

2 there is generally a right to a jury trial. So, it concerns

3 me as to what can be established outside the contours of

4 1983 in the context of this injunctive relief, and I think

5 we need to take a look at that issue. So, I'm going to take

6 that under advisement for right now.

7

MR. SHORALL: Does the Court have any further

8 request of the City in this regard?

9

THE COURT: No, I don't think so. I appreciate

10 the City's discomfiture on the consolidation, but I also can

11 understand where, as Mr. O'Brien says, these are the real

12 people who at least claim that they are the victims of

13 the inappropriate control of the City and that is

14 a very compelling reason to allow them to have some

15 role in this.

16

MR. SHORALL: The Court, however, recognizes that

17 it is a claim, and it is a claim which is disputed by the

18 individual officers, by the individual parties, the mayor

19 who is named as a party, various police officers and

20 officials who are named as party, the City who is named as

21 party.

22

So, not only is the City desirous of the Court

23 recognizing that all of those individual 63 plaintiffs have

24 cases which are disputed but also that the City has advanced

25 and advances that consolidation under the terms and

68 1 conditions as proposed by the plaintiffs would be violative

2 of any standing rights which they would have under 42

3 U.S.C. 14141.

4

THE COURT: I don't think they have any rights

5 under that statute.

6

MR. SHORALL: I concur.

7

THE COURT: I think it's only the Department of

8 Justice that has the duty to pursue claims under that

9 statute.

10

MR. SHORALL: And the consent decree is a progeny

11 of the discussions between the Justice Department and the

12 City relating directly to that statute, not to Section 1983.

13 It does have all of those types of functions that

14 Mr. O'Brien would propose that he provide built into the

15 mechanism of the consent decree which ultimately ends with

16 the review by this Court. Thank you, Your Honor.

17

MR. O'BRIEN: Just one addition. Just for

18 clarification, so that it is — so that our position is

19 stated. We do not seek consolidation in any way with

20 respect to any of the damages and issues.

21

Our sole request here is with respect to the

22 injunctive relief which this Court ultimately will have to

23 determine, if this injunctive relief meets out our claim for

24 injunctive relief in the Williams case.

25

I think you raised the issue of the sequence of

69

1 events. I think the pivot point here is that the motion for

2 class certification, as a procedural device, has to be

3 determined. And if this Court determines that there is a

4 class for the purposes of injunctive relief only, then it

5 seems to me that these two cases are intertwined in such a

6 way that they should be consolidated. That's our position

7 in this, Your Honor.

8

THE COURT: For at least purposes of today's

9 discussion, I was assuming that the class would be certified

10 and then trying to see whether it makes sense to have the

11 certified class but without the requisite findings to

12 participate in the implementation of this consent decree.

13

I do understand what your point is.

14

MR. O'BRIEN: We're not asking that we be directly

15 involved as a party to the consent decree, to be a named

16 party for purposes of monitoring.

17

We're saying that once that class is certified, in

18 relationship to the injunctive relief, that as the class

19 representatives, we have a duty and the obligation to insure

20 that the injunctive relief that potentially moots out our

21 claim for injunctive relief is enforced and implemented

22 effectively.

23

That's where we're coming from. If what I have

24 just said is true and accurate under the appropriate legal

25 standards, then the cases should be consolidated. The

70

1 damages claim can go on. This Court -- and I glean we're

2 going to have to come up with seme procedure for deciding

3 the custom and policy issues as to the damages claim. That

4 can go on separately. It's not consolidated. It has

5 nothing to do with our duties as the class representatives

6 for purposes of injunctive relief.

7

MR. SHORALL: Will the Court entertain just briefly

8 from the City? Thank you.

With all due respect, Mr. O'Brien proposes to put

10 the bunny in the hat.

11

The Court correctly identified the requisite

12 findings as being just that. Requisite findings as a

13 condition precedent. The findings have not been made, nor

14 have they been admitted by the City.

15

Thank you, Your Honor.

16

THE COURT: All right. I think we're in a

17 position that we've covered -- has everybody had a chance to

18 be heard today? That was, of course, the purpose of this

19 hearing.

20

With regard to the motion for intervention as of

21 right or permissive intervention under Rule 24 filed on

22 behalf of the Fraternal Order of Police, the Court will deny

23 that motion.

24

I don't think there is a right for intervention

25 and I don't, as a matter of considering whether permissive

71

1 intervention is necessary, I don't think it is necessary.

2 Especially in view of the fact that this is a statute

3 created by Congress and conferring duties on the Department

4 of Justice and responsibilities and duties on municipal

5 entities of which the FOP is not one.

6

And secondarily, because I think that at any time

7 where individual interests of FOP members are affected by

8 the implementation of the court decree, that there will be a

9 ready mechanism for them to be heard in this Court.

10

I think, also, that to the extent that it was

11 important to hear from the FOP and their counsel, and I

12 think it was, and I appreciate the input that they have

13 given us in this proceeding, that we've accomplished that

14 by the amicus type appearance that we've permitted.

15 And we have received both written and verbal input

16 from the FOP.

17

So, that any benefit that would have been

18 gained by virtue of intervention, permissive

19 intervention prior to the adoption of the consent

20 decree was already, I think, achieved through the

21 procedures that we employed.

22

I emphasize that I liked Mr. Rosebaum's analysis

23 of the implementation stages of this consent decree and the

24 idea that the timing or the timeliness of a motion to

25 intervene in a particular matter arising out of the

72

1 implementation of the decree will be measured from the time

2 when the specific injury occurred. When I say injury, the

3 claimed right that was violated.

4

So, that I think that we can take a pretty broad

5 view of that and permit intervention where it would be

6 appropriate to protect the rights of third parties. But

7 right now, I don't think there is anything in here that

8 violates the rights of any third parties.

9

The motion of Williams versus the City of

10 Pittsburgh to consolidate No. 96-560 with No. 97-354, I'm

11 going to take that matter under advisement.

12

I appreciate the input of counsel. I think

13 there is some things for me to think about and maybe

14 it's that my head works a little slower than the

15 lawyers, but I need to kind of work this through and

16 see what would be the most effective means for both

17 the City, I hope, and the Williams plaintiffs to resolve

18 that case. Mr. Campbell?

19

MR. CAMPBELL: Your Honor, one thing that was

20 overlooked and I may be coming in the back door.

21

But the FOP is a party to that suit. So, when the

22 Court considers it, I think you'd have to consider, does the

23 FOP come in, if you do consolidate it, with the same

24 standing as the plaintiffs would have.

25

THE COURT: I think Mr. O'Brien would say that

73

1 there would be less incentive on the part of the FOP to

2 enforce the plaintiffs' rights and to monitor the consent

3 decree in the way that he envisions.

4

MR. CAMPBELL: But I mean, to monitor it from the

point of view of the FOP. I'd be coming in the back door

instead of the front door.

7

THE COURT: It's an interesting observation. All

8 right. In a sense, you'll be monitoring it anyway in the

9 fashion that we've described, and I hope that the FOP

10 understands that it's not the intention of the Court to

11 block avenues of redress for any real injury that is

12 suffered by a member of the FOP in the course of the

13 implementation of this decree. At least we want to provide

14 a forum where they will be heard.

15

And so, I think, as Mr. Rosenbaum explained, that

16 can be done in the context of this decree.

17

I have, as I've indicated, read all of the

18 pleadings as well as the two expert reports that were

19 submitted, one by Lou Reiter, and I note that he was a

20 former Los Angeles policeman and now he's a consultant in

21 police matters. And I also read the affidavit of Professor

22 Fyfe who is a professor of criminal justice at Temple

23 University.

24

I'm persuaded by the information provided in those

25 affidavits that this is a workable consent decree and that a

74

1 lot of thought was put into this consent decree by the City

2 and by the Department of Justice in trying to get an

3 agreement that will work; and what, of course, in my wildest

4 hopes is one that the City police can be proud of because it

5 doesn't behoove the City police to be continually defending

6 malfeasers if they have them on the department. And

7 eventually, it can make a better police department, at least

8 both experts think so, and indicate how in Boston and other

9 cities where provisions of the very kind contemplated in

10 this consent decree have resulted in more effective law

11 enforcement as well as some measure of protection for the

12 officers by having procedures to identify early miscreants

13 and to either discipline them or me

14 end to that.

15

In that fashion, the whol

CLof (d

16 doesn't have to suffer from the mis

17 people which I think both experts a

/ &

18 condition. That being that there i

19 are responsible for the balk of the

/° \^Q

The Court finds that in ins

21 in proposing this consent decree, the United States

22 Department of Justice has acted within the authority and

23 duties conferred upon it by 42 United States Code Section

24 14141 where a governmental agency's involved.

25

The Court should be, and this Court is highly

74

1 lot of thought was put into this consent decree by the City

2 and by the Department of Justice in trying to get an

3 agreement that will work; and what, of course, in my wildest

4 hopes is one that the City police can be proud of because it

5 doesn't behoove the City police to be continually defending

6 malfeasers if they have them on the department. And

7 eventually, it can make a better police department, at least

8 both experts think so, and indicate how in Boston and other

9 cities where provisions of the very kind contemplated in

10 this consent decree have resulted in more effective law

11 enforcement as well as some measure of protection for the

12 officers by having procedures to identify early miscreants

13 and to either discipline them or move them to try to put an

14 end to that.

15

In that fashion, the whole police department

16 doesn't have to suffer from the misconduct of just a few

17 people which I think both experts allude to is a common

18 condition. That being that there is only a few people who

19 are responsible for the balk of the harm.

20

The Court finds that in instituting this action and

21 in proposing this consent decree, the United States

22 Department of Justice has acted within the authority and

23 duties conferred upon it by 42 United States Code Section

24 14141 where a governmental agency's involved.

25

The Court should be, and this Court is highly

75

1 deferential to a settlement agreement in the case where the

2 agency is exercising its expertise and the settlement is

3 found to be in the public interest.

4

In this instance, the expertise of the Department

5 of Justice in the matters at issue is recognized by the very

6 statute which confers the duty upon the Department of

7 Justice to commence such action and also confirmed by the

8 history of the Department of Justice as a federal law

9 enforcement agency.

10

The Court further finds that the proposed consent

11 decree furthers the statutory purposes as embodied in 42

12 U. S. Code, Section 14141. By agreeing to the consent

13 decree, the City and the United States have avoided

14 expensive and protracted litigation, and it is a generally

15 accepted principle that the law favors settlements of

16 disputes.

17

The Court further finds that the proposed consent

18 decree — I think I've already said — furthers the purpose

19 of the statute. I don't know why I have it written down

20 twice.

21

The Court finds that the consent decree, as

22 proposed, fairly, adequately and reasonably resolves the

23 allegations that were made in the complaint. The Court

24 further finds that the terms of the proposed consent decree

25 do not violate the law and will serve the public interest as

76

1 determined by the elected officials of the City of

2 Pittsburgh. And that the decree provides for a comprehensive

3 methodology to responsibly manage and control instances of

4 police misconduct where they occur.

5

Further, nothing in the consent decree in any way

6 changes the authority of police officers under the federal

7 or state constitutions or law to effect arrests, conduct

8 searches or seizures or otherwise to fulfill their law

9 enforcement obligations to the people of the City of

10 Pittsburgh.

11

The Court also recognizes that the consent decree

12 may affect the rights of third parties, including the

13 members of the Fraternal Order of Police and members of the

14 general public as expressed by Mr. O'Brien.

15

The Court finds, however, that its terms are fair,

16 adequate, reasonable and not in violation of any law.

17

The Court finds that no provision of the

18 collective bargaining agreement between the City of

19 Pittsburgh and the Fraternal Order of Police is violated by

20 the terms of the consent decree and that the parties will be

21 free to continue with their history of collective bargaining

22 and grievance adjustments before the consent decree.

23

And as I've indicated, if and when some conflict

24 in those two objectives arises, then there will be the

25 opportunity for the parties to be heard on that matter.

77

1

Further, the entry of the consent decree does not

2 violate state law governing collective bargaining

3 agreements.

4

Because Section 14141 is plainly adapted to effect

5 the objectives of the Fourteenth Amendment, it is a lawful

6 exercise of congressional power to Section Five of the —

7 pursuant to Section Five of the Fourteenth Amendment, and I

8 say that because there was an assertion made that the

9 statute itself violated the Tenth Amendment made by the

10 Fraternal Order of Police, and I don't see that it does.

11 And I think there is ample case precedent that would

12 establish that the federal government has the power to do

13 just what it is doing in this circumstance.

14

I have said that the statute is plainly adopted to

15 effectuate the purposes of the Fourteenth Amendment because

16 it is appropriate to enforce compliance with the Fourteenth

17 Amendment.

18

Probably, in the event that there are appeals or

19 whatever, it might be useful to write a brief opinion and

20 make some more formal findings in this matter so we will do

21 that as soon as we get a chance to do that.

22

The Court will, based on the findings that I have

23 made on the record, approve the consent decree as explained

24 by the parties' joint motion regarding the interpretation of

25 the consent decree which the Court will also sign.

78

1

All right. Are there any other matters that

2 should be before the Court?

3

All right. I wanted to thank the lawyers and

4 others who have been involved in this process, and I think

5 you've done a good job trying to point out to the Court the

6 items that should be considered in looking at the fairness 7 to the police officer or to any impact on the collective

8 bargaining agreement.

9

I particularly appreciate the rather extensive

10 brief that the government submitted. I think that was

11 really quite useful in helping me to get a handle on what

12 needed to be done to finally approve the decree.

13

I compliment all of you for getting this work done

14 and getting it done in a very brief period of time. We'll

15 have to, at another time, deal with this motion to

16 consolidate. As soon as I get a chance to think through

17 what might be the best way to do it, we'll have another

18 status conference on that, Mr. Shorall. We'll discuss it

19 then and Mr. O'Brien, Mr. Walczak. Court is adjourned.

20

21

I certify that the foregoing is a correct transcript

22 from the record of proceedings in the above-entitled matter

23

24
Date: / ^ y <///"' / 25

Patricia W. Sherman, Official Court Reporter

 
 ACLU

Page 1 of 6

URL: http://www.aclu.org/police/civoversight/14549prs19991117.html

Groups Call on Justice Dept. to Maintain Court-Ordered Police Reforms in Pittsburgh
(11/17/1999)
FOR IMMEDIATE RELEASE
PITTSBURGH -- In a letter sent today to the U.S. Department of Justice, a broad coalition of 20 community and national rights groups are urging officials to reject efforts to end a court-monitored decree requiring sweeping reforms in the city's police department.
The letter, sent by the American Civil Liberties Union of Pittsburgh, the NAACP, Parents Against Violence, and a host of others, calls on Acting Assistant Attorney General Bill Lann Lee to stand by the five-year term of the so-called decree, which has become a national model for police management.
The action comes in response to a November 4 announcement that Mayor Tom Murphy plans to ask the Department of Justice (DOJ) to end the decree halfway through its implementation period, currently set to expire at the earliest in April of 2002.
"The Pittsburgh community needs DOJ to stay the course and not abandon the reform effort prematurely," the letter said. "The most difficult reform of all has yet to be realized, namely, 'operational compliance' by streetlevel police officers."
Tim Stevens, President of the Pittsburgh branch of the NAACP, said that without the court-ordered consent decree in full force, such reforms may never be realized.
"It took Pittsburgh many, many years to achieve the depths of police misconduct which earlier existed," Stevens said. "It will also take many years to achieve a permanent turnaround."
In 1997, Pittsburgh became the first major city to make sweeping reforms in its police department, which came in response to a 1996 lawsuit filed by the American Civil Liberties Union on behalf of the NAACP, Parents Against Violence and sixty-six individual police misconduct victims.
The Justice Department joined the reform effort at the invitation of the ACLU shortly after the suit was filed. This was the first major initiative under a law Congress passed in 1994 that gave the Justice Department the right to investigate "patterns and practices" of civil rights violations by police departments and to file civil suits to remedy the misconduct. Previously, the agency was limited to investigating only individual allegations of police misconduct.
Among the abuses challenged were the practice of arresting and jailing innocent people for exercising their First Amendment right to question or complain about police officer behavior; the arrest and prosecution of people on the basis of false charges; the undertaking of unreasonable searches and seizures in AfricanAmerican communities; and the use of gratuitous and excessive force against citizens of all races.
"The forces that for decades resisted overdue reforms are still strong, still in denial, and still in control," said Vic Walczak, Executive Director of the ACLU of Pittsburgh. "Without the decree, there is nothing to prevent those forces from repealing the recent reforms and returning Pittsburgh to the dark days of unaccountable and out-of-control cops."
The federal judge who approved the plan said the five-year agreement provided a "comprehensive methodology to responsibly manage and control instances of police misconduct."

http://www.aclu.org/printer/printer.php

9/13/2006

ACLU

Page 2 of 6

Under the agreement, the city hired an independent auditor to assure that the terms of the consent decree are met, document all traffic stops and all arrests, conduct annual performance evaluations and provide annual training in cultural diversity, integrity and ethics.
Today's letter described a "town hall" meeting convened by Amnesty International USA last month to evaluate enforcement of the consent decree. At that meeting, attended by consent decree auditor Dr. James Ginger, representatives from the Department of Justice, Police Chief McNeilly and dozens of community activists, a consensus emerged that the decree should not be altered and that it should be enforced vigorously by the Justice Department.
Gerald LeMelle, Deputy Executive Director of Amnesty International, said his group has found that police departments often respond positively "when the glare of public scrutiny is upon a police force." But the response, he added, "is usually temporary."
"Based on Amnesty's recent examination of the Pittsburgh situation, we agree with the recommendations of the vast majority of forum participants that the consent decree is an essential part of the reform process and that process is not yet completed."
The letter was signed by local community organizations that helped gather information for the 1996 lawsuit filed by the American Civil Liberties Union, the NAACP and Parents Against Violence, as well as Ronald Hampton, Director of the National Black Police Association, and Gerald LeMelle of Amnesty International USA.
The community groups that signed on are: Urban League of Pittsburgh, Citizens For Police Accountability, Community Empowerment Association, National Council for Urban Peace and Justice, Coalition to Counter Hate Groups, Black and White Reunion, the Pittsburgh Chapter of Amnesty International, the YWCA Center for Race Relations, Cry Out Act Up!, Pennsylvania Baptist State Convention, Thomas Merton Center, Black Presbyterian Pastors, National Council for Community & Justice, as well as Pennsylvania state representative William Robinson of Pittsburgh.
The text of the letter to the Justice Department follows:
November 17, 1999
BY FAX & FIRST CLASS MAIL
Bill Lann Lee, Esq. Acting Assistant Attorney General Civil Rights Division U. S. Department of Justice P. O. Box 65808 Washington, D.C., 20035-5808
RE: United States v. City of Pittsburgh , CA-97-0354 (W. D. Pa., Cindrich, J.); DOJ Consent Decree with the Pittsburgh Bureau of Police
Dear Mr. Lee:
The undersigned groups join together to call on the United States Department of Justice ("DOJ") to remain steadfast in the enforcement of the Pittsburgh Police Consent Decree and to resist a request from City officials to reduce the duration of the agreement. United States v. City of Pittsburgh, CA-97-0354 (W. D. Pa. , Cindrich, J.). The City's solicitor advised the Pittsburgh City Council on November 4, 1999 that Mayor Tom Murphy would be asking to meet with you before the end of the year to request that DOJ agree to end the Decree before the five years expires.
Although the City has made positive strides toward compliance with the Decree, it has not yet achieved that status. More importantly, the most difficult reform of all has yet to be realized, namely, "operational compliance" by street-level police officers. Without vigorous enforcement by DOJ of the Consent Decree, the gains achieved to date are likely to evaporate. The Pittsburgh community needs DOJ to stay the course and

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not abandon the reform effort prematurely.
The history of the Pittsburgh Bureau of Police is a prototypical example of deliberate indifference by elected City officials and police brass to a pattern and practice of police misconduct. For decades, the Pittsburgh community attempted to convince City leaders and police management to impose on local police officers a system of accountability. Well publicized incidents of misconduct generated periodic calls for reform, but City leaders desisted. Juries decided in numerous lawsuits that not only were police officers guilty of constitutional torts, but that the misconduct arose out of an unconstitutional City pattern, practice or policy. Still, City leaders resisted long overdue changes in police management. An American Civil Liberties Union ("ACLU") review of internal affairs files revealed that for many years no City police officer had been disciplined as the result of a citizen's civil rights complaint. The result was a climate wherein those police officers who chose to violate citizens' civil rights did so, and knew that they could do so, with impunity.
The 1996 lawsuit against the City and over one hundred police officers, which was filed by the ACLU on behalf of dozens of Pittsburgh citizens and the National Association for the Advancement of Colored People ("NAACP") and Parents Against Violence, was the product of years of hard work by many community organizations, including the undersigned. Williams v. City of Pittsburgh, CA-96-560 (W.D.Pa., Cindrich, J.). The lawsuit catalogued the Bureau's ills and alleged dozens of individual police misconduct cases. The suit requested not only damages, but equitable relief to reform "a long-standing municipal policy of deliberate indifference to citizen abuse on the part of City of Pittsburgh police officers."
The ACLU invited DOJ in April of 1996 to join the reform effort. After almost a year of intensive investigation and negotiation, the effort finally bore fruit in February of 1997 when DOJ convinced the City to enter into a Consent Decree. That Consent Decree has now become a national model for police management. More importantly, the Decree has begun the process of professionalizing the City's police department.
The culmination of the liability phase of litigation with a judgment or consent decree is, in institutional reform litigation, only half the battle. The hardest and most important aspect of the litigation is implementation of agreed upon changes and the compliance monitoring. Even in the compliance monitoring phase, the most crucial and difficult element of the process involves changing the attitude and culture of the agency's rank and file employees. It may take years if not decades for the policy changes to permeate the employment practices. The effort in Pittsburgh is no different and we are now still only in the early stages of the reform process. As the Consent Decree Auditor noted in his last quarterly monitoring report:
The City has come into compliance in all but three areas; however, these are among the most difficult areas to control, as quality assurance in the internal investigations process is among the more difficult tasks confronting American law enforcement. * * * On the police side, as well, the most difficult problem remains: moving responsibility for review and control of unwarranted police behavior, and recognition and award of exemplary police behavior to the sergeant's and lieutenant's level. Increasing supervisory presence and improving supervisory control and leadership are critical factors for the bureau, and are essential to maintain compliance. Public Management Resources, Auditor's Quarterly Report; Long-Term Complaince Audit for the Pittsburgh Bureau of Police, Eighth Quarterly Report, at 76 (September 1999).
If DOJ accedes to City officials' request for early relief from enforcement of the Decree, the entire reform effort will have been for naught. The undersigned recognize that the City has made great strides under the Decree, and for that Bureau Chief Robert McNeilly deserves credit. But we also know that the changes have occurred because of the Consent Decree. The City's leadership has not changed since the signing of the Decree. These same leaders resisted change and the development of a system for holding miscreant officers accountable. The Mayor's response to the catalogue of ills described in the ACLU lawsuit was that the Police Bureau didn't need to make changes and would not make any changes. Just weeks before signing the Decree in February of 1997, the Mayor characterized DOJ lawyers as knowing less about police management than his "six year-old son." This same administration is still in power.
Furthermore, many rank and file officers have been resistant to the changes required by the Decree. The local union, the Fraternal Order of Police ("FOP"), has waged an aggressive campaign to overturn the Decree and to oust Chief McNeilly. The FOP has been vocal in saying that the Decree has hamstrung law enforcement efforts. There has even been some indication of a "blue flu," whereby officers are declining to do their jobs in protest over the Decree. It is clear, therefore, that the forces that for decades opposed change, the police and elected City officials, are still in place and have not been convinced that reform is either desirable or necessary.

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In short, it is only the force of law, embodied by the Consent Decree, that has brought the Pittsburgh Bureau of Police to where it is now. It is only the Consent Decree that will compel the Pittsburgh Bureau of Police to complete the reform process. And it is only the Consent Decree that will maintain the reform process for long enough to force a change in a culture that for too long allowed violations of citizens' civil rights.
At the end of October, Amnesty International USA held a town forum in Pittsburgh to evaluate the Consent Decree. The Consent Decree auditor, Dr. James Ginger, and DOJ representatives joined dozens of community activists and Chief McNeilly on this day of self- evaluation and reflection. After many hours of debate and discussion, a consensus emerged: the Consent Decree is a model for police management nationwide; the Consent Decree was and is needed in Pittsburgh; the Consent Decree should not be altered; and the Consent Decree should be enforced vigorously by DOJ. The biggest concern expressed by forum participants about the Consent Decree was that it could end after five years. We all agreed that the end of the Decree spelled trouble because the forces that for decades resisted change are still strong. Those of us who live in this community have no doubt that once the Consent Decree ends, regardless of the Chief's good intentions, the reforms will be diluted by City leaders and the FOP.
As you know, the Pittsburgh Decree also has significant national ramifications. It was the first, and still is the only, major victory under the 1994 statute (42 U.S.C. .14141) giving DOJ the authority to use civil litigation to root out "patterns and practices" of police misconduct. Police management experts, including Dr. Ginger and the ACLU's own expert, Dr. James Fyfe, have praised the Decree as a model for departments around the country. The power given DOJ by .14141 is arguably the most important new legal tool to help fight systemic police misconduct problems in at least a generation. For DOJ to accede to the Mayor's request to abandon its commitment to the people of Pittsburgh half-way through the reform effort would send the wrong message about DOJ resolve to police departments nationwide.
On behalf of the thousands of Pittsburghers in our ranks, we join now in calling upon you and DOJ to stand firm against efforts by the City to dilute the Consent Decree. If you feel compelled to allow City and police officials to meet with you to discuss modification of the Decree, we ask that you also meet with us. DOJ has done wonderful work for the Pittsburgh community, but that work is unfinished. Please don't abandon us before finishing the vitally important reform process, a process that will require a "rock-bottom" minimum of five years of vigilant DOJ enforcement.
Respectfully,
Witold J. Walczak, Esq. Executive Director ACLU of Pennsylvania, Greater Pittsburgh Chapter
Tim Stevens, President, Pittsburgh Branch, NAACP
Timothy P. O'Brien, Esq. Lead counsel, Williams v. City of Pittsburgh, on behalf of plaintiffs
Gloria Scott, Parents Against Violence
Jeffrey Richardson, Citizens for Police Accountability
Esther Bush, President and CEO, Urban League of Pittsburgh
Khalid Raheem, Executive Director, National Council for Urban Peace & Justice
Rashad Byrdsong, Director, Community Empowerment Association

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Hon. William R. Robinson, Member, 19th District, Pennsylvania House of Representatives
Diane Hernon Chavis, Director, YWCA Center For Race Relations
Billy Hileman, Cry Out Act Up!
Celeste Taylor, Black and White Reunion
Jan Neffke, Director, Coalition to Counter Hate Groups
Rev. Thomas Smith, Pennsylvania Baptist State Convention
Molly Rush, Organizer, Thomas Merton Center
Johnnie Monroe, Chair, Black Presbyterian Pastors
Byrd R. Brown, Esq. Chair Freedom Unlimited
Eve Wider, Director, Amnesty International-Pittsburgh
Ronald E. Hampton, Executive Director, National Black Police Association
Gerald LeMelle, Deputy Director, Amnesty International, USA
cc: By first class mail unless otherwise noted: Hon. Robert Cindrich Jacqueline Morrow, Esq. (City of Pittsburgh) (by fax) Brian Campbell, Esq. (FOP) Robert Moossy, Esq. (DOJ)(by fax) Dr. James Ginger (by fax) Hon. Tom Murphy Harry Litman, Esq. (U. S. Attorney) Charlie Morrison (Pittsburgh Human Relations Comm'n.)

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Learn more about the distinction between these two components of the ACLU.

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 CM/ECF - pawd - Docket Report

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U.S. District Court Western District of Pennsylvania (Pittsburgh) CIVIL DOCKET FOR CASE #: 2:97-cv-00354-RJC

CLOSED

USA v. CITY OF PITTSBURGH, et al Assigned to: Judge Robert J. Cindrich Demand: $0 Case in other court: Related, 2:96-cv-560
Related, 2:98-cv-00324 1 Cause: 28:1391 Personal Injury

Date Filed: 02/26/1997 Jury Demand: None Nature of Suit: 440 Civil Rights: Other Jurisdiction: U.S. Government Plaintiff

Plaintiff UNITED STATES OF AMERICA

represented by Amy Reynolds Hay United States Attorney's Office 700 Grant Street Suite 400 Pittsburgh, PA 15219 (412) 644-3500 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Frederick W. Thieman Thieman & Ward 436 Seventh Avenue 2312 Koppers Building Pittsburgh, PA 15219 (412) 395-1245 Firm: (412) 395-1246 Email: fwt@thiemanward.com LEAD ATTORNEY ATTORNEY TO BE NOTICED

Isabelle Katz Pinzler United States Department of Justice Civil Rights Division P.O. Box 66400 Washington, DC 20035-6400 (202) 514-6255 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Ken Nakata United States Department of Justice Civil Rights Division P.O. Box 66400 Washington, DC 20035-6400

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V. Defendant CITY OF PITTSBURGH

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(202) 514-6255 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary R. Bohan United States Department of Justice Civil Rights Division P.O. Box 66400 Washington, DC 20035-6400 (202) 616-2325 Firm: (202) 514-6255 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Phyllis Cohen United States Department of Justice Civil Rights Division P.O. Box 66400 Washington, DC 20035-6400 (202) 514-6255 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Robert Moossy United States Department of Justice Civil Rights Division P.O. Box 66400 Washington, DC 20035-6400 (202) 514-6255 TERMINATED: 04/17/2001 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Steven H. Rosenbaum United States Department of Justice Civil Rights Division P.O. Box 66400 Washington, DC 20035-6400 (202) 514-6255 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Jacqueline R. Morrow City of Pittsburgh Department of Law 414 Grant Street 313 City-County Building Pittsburgh, PA 15219

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Defendant PITTSBURGH BUREAU OF POLICE Defendant DEPARTMENT OF PUBLIC SAFETY Amicus AMERICAN CIVIL LIBERTIES UNION OF PENNSYLVANIA
Amicus NATIONAL ASSOCIATION FOR THE ADVANCEMENT OF COLORED PEOPLE PITTSBURGH BRANCH
V. Movant ALLEN N. BRUNWASSER

(412) 255-2010 Firm: 412-255-2285 Email: jacqueline.morrow@city.pittsburgh.pa.us
LEAD ATTORNEY ATTORNEY TO BE NOTICED
John G. Shorall, II City of Pittsburgh Department of Law 414 Grant Street 313 City-County Building Pittsburgh, PA 15219 (412) 255-2016 Firm: (412) 255-2285 Email: john.shorall@city.pittsburgh.pa.us LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Witold J. Walczak ACLF of PA 313 Atwood Street Pittsburgh, PA 15213 (412) 681-7864 Email: vwalczak@aclupgh.org LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Witold J. Walczak (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Allen N. Brunwasser P.O. Box 22212

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Movant
FRATERNAL ORDER OF POLICE, FORT PITT LODGE NO. 1 TERMINATED: 04/21/1997

Pittsburgh, PA 15222 (412) 391-0329 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Bryan Campbell 220 Grant Street 6th Floor Pittsburgh, PA 15219 (412) 642-7667 Email: bryancmpbl@yahoo.com TERMINATED: 04/21/1997 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed 02/26/1997 02/26/1997 02/26/1997 02/26/1997 02/26/1997 02/26/1997 03/03/1997 03/04/1997
03/10/1997

#

Docket Text

1 COMPLAINT with summons issued (ces) (Entered: 02/26/1997)

2 JOINT MOTION by USA, CITY OF PITTSBURGH, PITTBURGH BUREAU OF, DEPARTMENT OF PUBLIC for Entry of Consent Decree . (ces) (Entered: 02/26/1997)

3 CONSENT DECREE by USA, CITY OF PITTSBURGH, PITTBURGH BUREAU OF, DEPARTMENT OF PUBLIC with proposed order. (ces) (Entered: 02/26/1997)

4 RETURN OF SERVICE executed as to DEPARTMENT OF PUBLIC 2/26/97 Answer due on 3/18/97 for DEPARTMENT OF PUBLIC (ces) (Entered: 02/26/1997)

5 RETURN OF SERVICE executed as to PITTBURGH BUREAU OF 2/26/97 Answer due on 3/18/97 for PITTBURGH BUREAU OF (ces) (Entered: 02/26/1997)

6 RETURN OF SERVICE executed as to CITY OF PITTSBURGH 2/26/97 Answer due on 3/18/97 for CITY OF PITTSBURGH (ces) (Entered: 02/26/1997)

7 MOTION to Intervene by ALLEN N. BRUNWASSER with Proposed Order. (ces) (Entered: 03/03/1997)

ORDER upon motion denying [7-1] motion to Intervene by ALLEN N. BRUNWASSER. However, petitioner will be notified of the date set for a hearing on the consent decree and will be provided an opportunity to be heard at that time ( signed by Judge Robert J. Cindrich on 3/4/97 ) CM all parties of record. (ces) (Entered: 03/04/1997)

8 ORDER, Motion Hearing set for 1:30 3/17/97 for [2-1] joint motion for Entry of Consent Decree ( signed by Judge Robert J. Cindrich on 3/10/97 ) CM all parties of record. (ces) (Entered: 03/10/1997)

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03/12/1997 03/18/1997 03/18/1997 03/18/1997
03/20/1997
03/26/1997 03/27/1997 03/31/1997 03/31/1997 03/31/1997
03/31/1997 04/02/1997 04/14/1997

9 MOTION for Intervention Of Right Or Permissive Intervention Under FRCP 24 by FRATERNAL ORDER OF POLICE, FORT PITT LODGE NO. 1 with Proposed Order. (ces) (Entered: 03/12/1997)
10 LETTER from City Council dated 3/7/97 in support of Consent Decree. (tt) (Entered: 03/19/1997)
11 Hearing on Consent Decree held 3/17/97 before Judge Cindrich [ Reporter: Shirley Hall] (tt) (Entered: 03/19/1997)
Deadline updated; Response to Motion set to 3/31/97 for [9-1] motion for Intervention Of Right Or Permissive Intervention Under FRCP 24 by FRATERNAL ORDER OF POLICE, FORT PITT LODGE NO. 1 (tt) (Entered: 03/19/1997)
12 ORDER, Response to Motion set to 3/31/97 for [9-1] motion for Intervention Of Right Or Permissive Intervention Under FRCP 24 by FRATERNAL ORDER OF POLICE, FORT PITT LODGE NO. 1 , and response due 3/31/97 to pltf's motion to consolidate w/CA No. 96-560 filed on 4/14/97 at CA96-560; set Status Conference for 9:30 4/16/97 ( signed by Judge Robert J. Cindrich on 3/19/97 ) CM all parties of record. (ces) (Entered: 03/20/1997)
13 LETTER dated 3/14/97 to Judge Cindrich from Mayor Tom Murphy and ordered filed and made part of the record 3/26/97 (Cindrich, J.) (ces) (Entered: 03/27/1997)
14 LETTER dated 3/22/97 to Judge Cindrich from Sgt. John F. Linn ordered filed and made part of the record 3/26/97 (Cindrich, J.) (ces) (Entered: 03/27/1997)
15 RESPONSE by USA to [9-1] motion for Intervention Of Right Or Permissive Intervention Under FRCP 24 by FRATERNAL ORDER OF POLICE, FORT PITT LODGE NO. 1 (ces) (Entered: 03/31/1997)
16 JOINT MOTION by USA, CITY OF PITTSBURGH, PITTBURGH BUREAU OF Regarding the Interpretation of the Consent Decree with Proposed Order. (ces) (Entered: 03/31/1997)
17 RESPONSE by CITY OF PITTSBURGH, PITTBURGH BUREAU OF, DEPARTMENT OF PUBLIC to [9-1] motion for Intervention Of Right Or Permissive Intervention Under FRCP 24 by FRATERNAL ORDER OF POLICE, FORT PITT LODGE NO. 1 (ces) (Entered: 04/01/1997)
18 RESPONSE by USA to Williams Pltfs' Motion to Consolidate filed at CA96-560 (ces) (Entered: 04/01/1997)
19 TRANSCRIPT of public hearing on consent decree for date of 3/17/97. Court Reporter: Shirley Ann Hall. (ces) (Entered: 04/02/1997)
20 RESPONSE by USA to [3-1] proposed decree consent by DEPARTMENT OF PUBLIC, PITTBURGH BUREAU OF, CITY OF PITTSBURGH, USA (ces) (Entered: 04/14/1997)

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04/16/1997
04/16/1997 04/18/1997
04/18/1997 04/22/1997 04/25/1997 04/30/1997 07/22/1997 10/06/1997 12/05/1997 12/24/1997 03/17/1998 06/22/1998 09/21/1998 12/21/1998

ORDER upon motion granting [16-1] joint motion Regarding the Interpretation of the Consent Decree as stated more fully in said order ( signed by Judge Robert J. Cindrich on 4/16/97 ) CM all parties of record. (ces) (Entered: 04/16/1997)
ORDER upon motion granting [3-1] decree consent as stated more fully in said consent decree ( signed by Judge Robert J. Cindrich on 4/16/97 ) CM all parties of record. (ces) (Entered: 04/16/1997)
21 ORDER denying [9-1] motion for Intervention Of Right Or Permissive Intervention Under FRCP 24 by FRATERNAL ORDER OF POLICE, FORT PITT LODGE NO. 1; mooting [2-1] joint motion for Entry of Consent Decree, as Ct. has already signed consent decree ( signed by Judge Robert J. Cindrich on 4/17/97 ) CM all parties of record. (ces) (Entered: 04/18/1997)
22 Status Conference held 4/16/97 before Judge Robert J. Cindrich [ Reporter: Pat Sherman ] (Judge agrees to sign consent decree. Order to be entered on remaining motions) (ces) (Entered: 04/18/1997)
23 MOTION by ALLEN N. BRUNWASSER for reargument with Proposed Order. (crw) (Entered: 04/22/1997)
24 MOTION by USA to substitue corrected pages in the Declaration of Lou Reiter with Proposed Order. (ces) (Entered: 04/25/1997)
ORDER upon motion granting [24-1] motion to substitue corrected pages in the Declaration of Lou Reiter ( signed by Judge Robert J. Cindrich on 4/28/97 ) CM all parties of record. (ces) (Entered: 04/30/1997)
25 Status Conference set for 9:30 7/31/97 (ces) (Entered: 07/22/1997)
26 ORDER denying [23-1] motion for reargument ( signed by Judge Robert J. Cindrich on 10/3/97 ) CM all parties of record. (ces) (Entered: 10/06/1997)
27 JOINT NOTICE of APPOITMENT OF AN AUDITOR by USA, CITY OF PITTSBURGH (ces) (Entered: 12/05/1997)
28 Auditor's Quarterly Report (First Quarterly Report 12/97) (Long-Term Compliance Audit for the Pgh. Bureau of Police) (ces) (Entered: 12/24/1997)
29 Auditor's Second Quarterly Report March 15, 1998 detailing City of Pgh.'s Long-Term Compliance for Pgh. Bureau of Police (ces) (Entered: 03/17/1998)
30 Auditor's Quarterly Reprt Long-Term Compliance Audit for Pgh. Bureau of Police for Third Quarter 6/15/98 (ces) (Entered: 06/22/1998)
31 STATUS REPORT by USA (plh) (Entered: 09/21/1998)
32 QUARTERLY REPORT filed by Compliance Auditor, James D. Ginger, Ph.D. (tt) (Entered: 12/21/1998)

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03/24/1999
03/31/1999 03/31/1999 06/15/1999 06/29/1999
07/09/1999 09/16/1999 01/04/2000 03/21/2000 06/16/2000 09/19/2000 01/05/2001 03/26/2001 03/28/2001
04/11/2001

33 Auditor's Sixth Quarterly Report March 1999 Long-Term Compliance Audit for the Pgh. Bureau of Police filed pursuant to Consent Decree entered into by U.S. Dept. of Justice and City of Pgh. (ces) (Entered: 03/24/1999)
34 ORDER, that the Clerk of Court shall administratively close the above captioned case. (signed by Judge Robert J. Cindrich on 3/31/99) CM all parties of record. NOTICE MAILED (plh) (Entered: 04/01/1999)
Statistical Case Closing (plh) (Entered: 04/01/1999)
35 JOINT MOTION by USA, CITY OF PITTSBURGH to Extend Time to Flie Seventh Auditor's Quarterly Report with Proposed Order. (ces) (Entered: 06/16/1999)
ORDER upon motion granting [35-1] joint motion to Extend Time to File Seventh Auditor's Quarterly Report by 7/9/99. ( signed by Judge Robert J. Cindrich on 6/16/99 ) CM all parties of record. (ces) Modified on 07/12/1999 (Entered: 06/29/1999)
36 AUDITOR'S SEVENTH QUARTERLY REPORT JULY 1999 LongTerm Compliance Audit for the Pgh. Bureau of Police (ces) (Entered: 07/09/1999)
37 AUDITOR'S QUARTERLY REPORT Long-Term Compliance Audit for the Pgh. Bureau of Police Eighth Quarterly Report September 1999 (ces) (Entered: 09/16/1999)
38 AUDITOR'S NINTH QUARTERLY REPORT - Long-term Compliance Audit. January 2000. (tt) (Entered: 01/04/2000)
39 Auditors' Tenth Quarterly Report Long-Term Compliance Audit (ces) (Entered: 03/21/2000)
40 QUARTERLY REPORT by James D. Ginger, Ph.D. (aen) (Entered: 06/16/2000)
41 Auditor's Twelfth Quarterly Report filed for Long-term Compliance Audit (ces) (Entered: 09/19/2000)
42 AUDITOR'S THIRTEENTH QUARTERLY REPORT (ces) (Entered: 01/08/2001)
43 JOINT MOTION by USA, CITY OF PITTSBURGH to Extend Time to File Auditior's Fourteenth Quarterly Report . (ces) Modified on 03/28/2001 (Entered: 03/27/2001)
ORDER upon motion granting [43-1] joint motion to Extend Time to File Auditior's Fourteenth Quarterly Report. Report shall be filed 4/4/01. ( signed by Judge Robert J. Cindrich on 3/28/01 ) CM all parties of record. (ces) Modified on 04/17/2001 (Entered: 03/28/2001)
44 MOTION by USA to Substitute Attorney Mary R. Bohan in place of Atty. Robert Moossy as counsel for U.S. (ces) (Entered: 04/11/2001)

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04/17/2001
04/24/2001 04/25/2001
04/25/2001
08/23/2001 10/30/2001 03/19/2002 07/30/2002 08/29/2002 08/29/2002 08/30/2002 09/03/2002
09/11/2002 09/11/2002

ORDER upon motion granting [44-1] motion to Substitute Attorney terminated attorney Robert Moossy for USA Added ( signed by Judge Robert J. Cindrich on 4/16/01 ) CM all parties of record. (ces) (Entered: 04/17/2001)
45 Auditor's Fourteenth Quarterly Report April 25, 2001 (ces) (Entered: 04/24/2001)
46 PARTIES' SECOND JOINT MOTION by USA, CITY OF PITTSBURGH, PITTBURGH BUREAU OF, DEPARTMENT OF PUBLIC to Extend Time to File Fourteenth Auditor's Quarterly Report with Proposed Order. (ces) Modified on 04/25/2001 (Entered: 04/25/2001)
ORDER upon motion granting [46-1] joint motion to Extend Time to File Fourteenth Auditor's Quarterly Report on 4/25/01 ( signed by Judge Robert J. Cindrich on 4/10/01 ) CM all parties of record. (ces) (Entered: 04/25/2001)
47 Auditor's Fifteenth Quarterly Report filed dated 8/21/01 (Long-term Conpliance Audit) (ces) Modified on 03/19/2002 (Entered: 08/23/2001)
48 Auditor's Sixteenth Quarterly Report Long-term Compliance Audit (ces) (Entered: 10/30/2001)
49 AUDITOR'S SEVENTEENTH QUARTERLY REPORT FILING (Longterm Compliance Audit) (ces) (Entered: 03/19/2002)
50 Auditor's Eighteenth Quarterly Report Filing of Long-term Compliance Audit 7/30/02 (ces) (Entered: 07/30/2002)
51 AUDITOR'S NINETEENTH QUARTERLY REPORT FILING (8/30/02) (ces) (Entered: 08/29/2002)
52 JOINT MOTION by USA, CITY OF PITTSBURGH, PITTBURGH BUREAU OF, DEPARTMENT OF PUBLIC to enter parties' stipulated order with Proposed Order. (crw) (Entered: 08/29/2002)
53 ORDER, set on joint stipulation Hearing for 9:30 9/13/02 ( signed by Judge Robert J. Cindrich on 8/30/02 ) CM all parties of record. (ces) (Entered: 08/30/2002)
54 ORDER, Motion Hearing set for 9:30 9/13/02 for [52-1] joint motion to enter parties' stipulated order . Auditor directed to file report to ct. and be present 9/13/02 in ct. to testify concerning his opinions as to issues stated more fully in said order ( signed by Judge Robert J. Cindrich on 9/3/02 ) CM all parties of record. (ces) Modified on 09/05/2002 (Entered: 09/04/2002)
55 BRIEF Amici Curiae by ACLU, NAACP in opposition to Proposed Consent Decree Modification (ces) (Entered: 09/12/2002)
57 ORDER that ct. will announce list of speakers at the hearing on 10/13/02 and as stated more fully in said order ( signed by Judge Robert J.

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09/12/2002 09/16/2002 09/16/2002 09/16/2002 09/19/2002 09/19/2002
09/30/2002
12/17/2002 02/28/2003 03/05/2003
04/01/2003 05/02/2003 08/01/2003 11/25/2003 01/21/2004

Cindrich on 9/11/02 ) CM all parties of record. (ces) (Entered: 09/12/2002)
56 NOTICE by USA of Filing Auditor's Supplemental Report (ces) (Entered: 09/12/2002)
58 Hearing on Stipulation held re: 9/13/02 Bwfore Judge Cindrich [ Reporter: Marilyn Brown] (aen) (Entered: 09/16/2002)
59 EXHIBITS in support of [58-1] Stipulation hearing of 9/13/02 ( Vol 1 ) (aen) (Entered: 09/16/2002)
60 EXHIBITS in support of [58-1] Stiupulation hearing held on 9/13/02 ( Vol 2 ) (aen) (Entered: 09/16/2002)
61 TRANSCRIPT of Hearing on Petition to Approve Modification of Consent Decree held before Cindrich, J. for date of 9/13/02. Court Reporter: Marilyn Brown. (ces) (Entered: 09/19/2002)
62 TRANSCRIPT of Excerpt from hearing On Petition to Approve Modification of Consent Decree for date of 9/13/02. Court Reporter: Marilyn Brown. (Statement of C. J. Bosetti) (ces) Modified on 09/19/2002 (Entered: 09/19/2002)
63 STIPULATED ORDER granting [52-1] joint motion to enter parties' stipulated order re: Consent Decree as stated more fully in said order ( signed by Judge Robert J. Cindrich on 9/30/02 ) CM all parties of record. (ces) (Entered: 10/01/2002)
64 AUDITOR'S EIGHTEENTH QUARTERLY REPORT FILING. (plh) (Entered: 12/17/2002)
65 JOINT MOTION by USA, CITY OF PITTSBURGH to Extend Time to File Twenty-First Auditor's Quarterly Report with Proposed Order. (ces) (Entered: 03/03/2003)
ORDER upon motion granting [65-1] joint motion to Extend Time to File Twenty-First Auditor's Quarterly Reportk. Report is due 3/31/03 ( signed by Judge Robert J. Cindrich on 3/4/03 ) CM all parties of record. (ces) (Entered: 03/05/2003)
66 Auditor's Twenty-First Quarterly Report Filing (ces) Modified on 04/02/2003 (Entered: 04/02/2003)
67 AUDITOR'S TWENTY-SECOND QUARTERLY REPORT FILING (ces) (Entered: 05/02/2003)
68 Auditor's Twenty-Third Quarterly Report Filing (ces) (Entered: 08/01/2003)
69 AUDITOR'S TWENTY-FOURTH QUARTERLY REPORT (plh) (Entered: 11/25/2003)
70 AUDITOR'S TWENTY-FIFTH QUARTERLY REPORT FILING filed by City of Pgh. (ces) (Entered: 01/21/2004)

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05/11/2004 08/25/2004 12/16/2004 04/06/2005
04/06/2005
04/07/2005 04/08/2005

71 Auditor's Twenty-Sixth Quarterly Report Filing (ces) (Entered: 05/12/2004)
72 Auditor's Twenty-Seventh Quarterly Report Filing (ces) (Entered: 08/25/2004)
73 Auditor's Twenty-Eighth Quarterly Report Filing (ces) (Entered: 12/16/2004)
74 JOINT MOTION by USA, CITY OF PITTSBURGH, PITTBURGH BUREAU OF, DEPARTMENT OF PUBLIC to Terminate Consent Decree and Dismiss this case , with Proposed Order. (tt) (Entered: 04/06/2005)
75 DECLARATION of James D. Ginger, Jr. Re: [74-1] joint motion to Terminate Consent Decree and Dismiss this case by DEPARTMENT OF PUBLIC, PITTBURGH BUREAU OF, CITY OF PITTSBURGH, USA (tt) (Entered: 04/06/2005)
ORDER upon motion granting [74-1] joint motion to Terminate Consent Decree and Dismiss this case ( signed by Judge Arthur J. Schwab on 4/7/05 ) CM all parties of record. (ces) (Entered: 04/07/2005)
76 Auditor's Twenty-Ninth Quarterly Report Filing Long-term Compliance Audit (for Quarter Ending 11/31/04) (ces) (Entered: 04/08/2005)

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 USA v. City of Pittsburgh, Stipulated Order

Page 1 of 4

IN THE UNITED STATES DISTRICT COURT FOR THE WESTERN DISTRICT OF PENNSYLVANIA
UNITED STATES OF AMERICA, Plaintiff,
v.
CITY OF PITTSBURGH, PITTSBURGH BUREAU OF POLICE, and DEPARTMENT OF PUBLIC SAFETY, Defendants.
CIVIL NO. 97-0354
STIPULATED ORDER
On April 16, 1997, this Court entered a Consent Decree between the United States and the City of Pittsburgh, et al. ("City"). Paragraph 79 of the Decree provides that "[a]t any time after five (5) years from the date of entry of this Decree, and after substantial compliance has been maintained for no less than two years, the City may move to terminate this Decree."
As required by paragraph 70 of the Decree, the Auditor has filed comprehensive reports of the City's compliance with the Decree on quarterly basis. The Auditor's quarterly reports have found the City to be in operational compliance with provisions of the Decree applicable specifically to the Bureau of Police since the Ninth Quarterly Report, covering the time period from August 16, 1999 through February 15, 2002. However, the Auditor's reports have found that the City has not attained operational compliance with the provisions of the Consent Decree applicable specifically to the City Office of Municipal Investigations ("OMI"), the office responsible for investigating and deciding complaints of police misconduct. In particular, the City continues to maintain a substantial backlog of OMI cases in violation of the Consent Decree. The Auditor's reports also reveal that the City's failure to comply with the provisions applicable specifically to OMI affects the City's ability to comply fully with certain Bureau of Police provisions with which they interrelate.
The parties agree, based on their own assessments, and the conclusions and analysis reflected in the Auditor's reports, that the City has maintained substantial compliance with certain Consent Decree provisions which apply solely to the Bureau of Police, from August 16, 1999 to date. The parties also agree that the City has not achieved substantial compliance with certain Consent Decree provisions applicable to OMI, and that this has impacted certain Bureau of Police provisions with which they interrelate.
In recognition of the Defendants' compliance with provisions of the Consent Decree pertaining solely to the Bureau of Police, and in consideration for commitments regarding OMI agreed to by the City herein and the City's agreement to continue to maintain in effect policies and procedures substantially similar to those developed pursuant to the Consent Decree regarding (a) the performance assessment and review system and protocols for its use, (b) reporting, review and aggregate analysis by the chain of command of uses of force, searches and seizures and traffic stops, and (c) civil rights training programs, the parties stipulate to the following. Plaintiff, the United States, and Defendants, City of Pittsburgh, et al., jointly move this Court to order the following:
1. The Court shall terminate Consent Decree paragraphs 10, 13, 14, 18(b), 19(b), 20, 21(a), 23, 24, 25, 26(a) and (c), 28, 29, 30, 31, 33, 34, 35, 36, 37, 39, 40, 41 (except that the City shall continue to

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maintain: training records of OMI investigators; and training records of officers who received training based on OMI complaints), 42 (except that the City shall continue to document and maintain all mandatory counseling of officers based on OMI complaints) and 43. All other Consent Decree paragraphs shall remain in effect until termination is effected with regard to those paragraphs pursuant to Consent Decree paragraph 79.
2. In order to achieve operational compliance with all remaining provisions of the Consent Decree not terminated by this Stipulated Order, the City agrees to comply with the following requirements governing the operations of OMI and its successors:
A. OMI has developed and shall continue to maintain an enhanced computerized relational database that effectively tracks the status of complaint investigations by case number, allegation, investigator, and status of the investigation.
B. The City shall continue to hire and/or assign an individual to OMI for the exclusive purpose of assisting OMI in the supervision and management of its caseload, including any backlog, and accomplishing any modification of policies and protocols necessary to assure efficient processing of complaints until OMI has completely eliminated its backlog.
C. The City shall clear OMI's existing backlog of cases open longer than 120 days by February 28, 2003.
D. Until the backlog is eliminated, the City shall ensure that at all times OMI maintains a staff of at least 16 investigators. Thereafter, the City shall ensure that at all times OMI maintains sufficient staff to comply with paragraph 2.E. herein.
E. After eliminating the backlog, the City shall not permit OMI to again develop or maintain a significant backlog of cases and, thus, agrees that, after February 28, 2003, the total number of cases open more than 120 days shall not exceed 5% of the total OMI caseload. The 5% limit shall not include cases appropriately designated by the City as "pending" and which are no more than 180 days old. A case may be designated as "pending" by the OMI manager and his or her direct supervisor if each of the following applies: (a) a non-police witness whose testimony is necessary to determine the disposition of any of the allegations is unavailable after aggressive efforts have been made by OMI in accordance with Consent Decree paragraph 61; and (b) all other phases of the investigation have been completed within the 120 day period. The 5% limit shall apply to all cases open longer than 180 days.
F. The City shall ensure that each OMI closed case file contains all of the records necessary to document their compliance with all Consent Decree provisions. Any file lacking documentation necessary to determine OMI's compliance with the Consent Decree at the time of the Auditor's review, shall be deemed non-compliant by the Auditor.
G. The City shall ensure that all OMI investigators receive police academy and in-service training, as required by Consent Decree paragraph 46, within six months of their date of hire, and shall maintain detailed written records substantiating the training received by each investigator.
H. The City shall provide to the Auditor and the Department, on a monthly basis until the Consent Decree is terminated pursuant to Consent Decree paragraph 79, a report listing the

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following current information: the number of incoming OMI cases per month, by type; the number of assigned current and backlog cases per month, by type; the number of unassigned current and backlog cases per month, by type; the number of staff (current and backlog) per shift on the last day of the month (including the name, title and start date for each staff member); and the number of closed cases (current and backlog) per month, by type.
3. The Auditor shall continue to audit, as provided in Consent Decree paragraphs 70 to 76, all Consent Decree paragraphs that have not been terminated. Consent Decree paragraphs 12, 15, 16, 17, 18 (a), 19(a), 21(b) and (c), 22, 26(b), 27, 32, 38, 41, 42 and 43, which pertain primarily to the Bureau of Police, will be audited only to the extent they cover or affect OMI's responsibilities pursuant to the Consent Decree and this Order. In addition, the Auditor shall continue to review and report on all information included in Consent Decree paragraph 71 (a) through (d).
4. The Auditor shall audit compliance with this Order as part of his audit of the Consent Decree. The Auditor shall use a 'process audit' approach, as described in the Auditor's September 13, 2002 Supplemental Report to the Court.
5. This Order shall terminate when the entirety of the Consent Decree is terminated pursuant to Consent Decree Paragraph 79.
For the Plaintiffs:
RALPH F. BOYD, JR. Assistant Attorney General Civil Rights Division U.S. Department of Justice
STEVEN H. ROSENBAUM, Chief DONNA M. MURPHY, Deputy Chief MARY R. BOHAN, Attorney S. NICOLE NARDONE, Attorney U.S. Department of Justice Civil Rights Division 950 Pennsylvania Ave., N.W. SPL, 601 D Street Washington, D.C. 20530 (202) 514-6247
For the Defendants:
JACQUELINE R. MORROW, City Solicitor SUSAN E. MALIE, Assistant City Solicitor City of Pittsburgh Department of Law 414 Grant Street 313 City-County Building Pittsburgh, PA 15219 (412) 255-2002
SO ORDERED this 30th day of September, 2002.

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USA v. City of Pittsburgh, Stipulated Order
ROBERT J. CINDRICH United States District Court Judge

Page 4 of 4

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 Auditor’s Quarterly Report Quarter Ending December 15, 1997

Page 1

1 Introduction
This documents represents the first of an anticipated 20 “Auditor’s Quarterly Reports” (AQR) assessing the levels of compliance of the City of Pittsburgh (City) with the requirements of the consent decree (decree) entered into between the City and the United States Department of Justice (Justice) on April 16, 1997. The document consists of three sections, identified below:
• Introduction; • Compliance Assessment; and • Summary.
The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of “compliance” are described in the Introduction. Section Two, “Compliance Assessment,” includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three “Summary” provides an overall assessment of the City’s performance for this quarter.
1.1 Overall status assessment
1.1.2 Dates of Project Deliverables
Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the City; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.
1.2 Format for Compliance Assessment
The AQR is organized to be congruent with the structure of the consent decree. It reports on the City’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated “early warning system” (EWS). The following components of the decree are treated similarly. For each section of the decree, a graphic representation of the City’s compliance status is presented. The graphic is
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designed as follows. The “label” depicts the start date for the City’s compliance

actions (almost always April 16, 1997). The blue bar, below the label,

depicts the time allotted, by the decree, for the City to comply with the decree.

The light blue, yellow, orange or red bars, below the blue bars indicate the time

expired since the start date. The vertically patterned light blue bars

indicate expired time equal to or less than that allowed by the decree. The

checkered Yellow bars

indicate expired time that is more than that

allowed by the decree, but which, in the judgment of the auditor, does not

seriously threaten the City’s successful compliance with the decree. The

horizontally patterned Orange bars

indicate expired time that is more

than that allowed by the decree, and which, in the judgment of the auditor,

seriously threaten the City’s successful compliance with the decree. Red bars

indicate expired time which is more than that allowed by the decree, and

which, in the judgement of the auditor

seriously threaten the City’s

successful compliance with the decree.

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Compliance is classified as primary, secondary and “operational,” with the definitions specified in Section 1.4, below.
1.3 Compliance Assessment Processes
1.3.1 Structure of the Task Assessment Process
Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP). All data collected was of one of two types. They were either collected by:
• Selection of a random sample, or
• Selecting all available records of that type.
Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau. In every instance of selection of random samples, PBP personnel were provided with lists
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requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.
The performance of the PBP and the City of Pittsburgh (City) on each task outlined in the consent decree was assessed by the auditor during the quarter ending December 15, 1997. In order to allow time for completion of the report, the auditor completed assessment activities on November 25, 1997.
All determinations of status for the City and the PBP are data-based, and were formed by review of the following types of documents:
• Official PBP documents prepared in the normal course of business; • Official Office of Municipal Investigations (OMI) documents prepared during
the normal course of business; and/or • Electronic documents prepared by the City or components of City government
during the normal course of business.
Where practicable, documentation forming the database for this audit were selected by the auditor and the auditor’s staff directly from PBP, OMI or City files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints were assessed by reviewing OMI files, OMI electronic files, PBP personnel files, and zone performance files.
1.4 Operational Definition of Compliance
For the purposes of this audit, “compliance” consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to “comply” as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the Bureau.
The City, the Bureau and OMI have committed to implement the changes required by the decree. The commitment is to implement both the letter and the spirit of the decree.
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Some delays have been encountered along the way. Such is to be expected in complex organizational change strategies. As often as not, these delays were due, at least in part and often in large part, to the City’s commitment to a quality implementation, rather than one that will simply pass muster. A great deal of work lies ahead, as the City works to move past primary compliance into secondary and operational compliance. The members of the audit team stand ready to assist this transition in any manner possible. The City appears to have a strong plan for implementation, but effective, quality implementation will take time. Finally, the reader should note that, as with all long-term audits, the auditor’s first report serves as “first notice” of the requirements of compliance, thus any expectation that the City would be in full compliance during the initial quarter is unrealistic.
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2 Assessment of Compliance
2.1 Methodology
The auditor assessed the City’s compliance using the Auditor’s Manual, included as Appendix A of this document. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and “operational” (see section 1.4, above).
The following sections of the first Auditor’s Quarterly Report contains a detailed assessment of the degree to which the City has complied with the 76 tasks to which it agreed on April 16, 1997.
2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-a of the Decree requires the City and the PBP to automate the database tracking system currently in use to track police officer behavior, and to add functionality to the system, transitioning it to an “early warning system” (EWS) which will assist the Bureau in identifying and managing officer behavior which may be problematic.
In order to accomplish this task, the City has formed a “protocol committee,” and charged this committee with responsibility for defining policies, procedures, manual and automated systems, and oversight practices for each of required elements of the EWS. The decree requires development of protocols in the following areas:
• Citizens’ complaints; • Officer-involved shootings; • Criminal investigations of officers; • Civil or administrative claims arising from PBP operations; • Civil claims against the PBP;
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• Law suits against the PBP; • Warrantless searches by officers; • Use of force by officers; • Traffic stops by officers; and • Discretionary charges filed by officers.

With the exception of the “traffic stop” protocol, the City has completed work on the various protocols designed to serve as policy guidance for the planned Early Warning System. The auditor has reviewed each of these protocols, and has assessed their viability in sections 2.2-2.6, following.

The auditor has reviewed the planned system (as outlined in documents provided by the Computer Information Systems Department of the City) and has provided those developing the system with comments concerning planned system capabilities. The system is scheduled for implementation by April 16, 1998.

Status:

Pending

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping

The City has begun developing system design components, and has begun developing the requisite computer code to support the system. Hardware acquisition plans have been developed, and in some instances, implemented. The automated EWS depends on an impressive—and at times daunting—cross integration of systems and subsystems. The City has an impressive list of tasks to complete to bring this system to fruition. If it is implemented as planned, however, it goes well beyond the requirements of the decree, and will provide the PBP with a state of the art, automated system with which to manage police behavior.

Status:

Pending

2.2.2 Assessing Compliance with Task 12-b: Nature of EWS Retrieval Systems
Paragraph 12-b of the decree requires the City to build into the EWS the ability to retrieve information from the EWS by officer, squad, zone, unit, and the

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execution of “discretionary arrests.”1 The plans for the automated EWS appear sound, and appear to allow the functionality required by the decree.

Status:

Pending

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the EWS

Paragraph 12-c of the decree requires the City to archive the records in the EWS for three years after the involved officers’ separation from service, and that all records be archived indefinitely. In addition, it requires the City to enter all relevant data for three years prior to April 16, 1997. This requirement cannot be assessed at this time.
Status: Pending
2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the EWS

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-d requires the City to develop a protocol for use of the EWS that would:
• Establish trigger thresholds for review of officer records by senior supervisors; • Establish requirements for frequency of review of officer records by senior
supervisors; • Establish the types of corrective actions to be taken by senior supervisors; • Establish confidentiality and security provisions for the EWS; • Establish requirements for quality assurance checks of data input; and • Have the protocol submitted for review 30 days before implementation.
1 Defined by the decree as resisting arrest, disorderly, public intoxication, and interfering with the administration of justice.
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The City has developed protocols for use of the EWS, including those controlling:

• Weapons discharges by a Bureau member; • Citizens complaints; • Civil claims arising from Bureau operations; • Initiation of criminal investigations against Bureau members; • Lawsuits arising from Bureau operations; • Reporting subject resistance incidents; • Trend analysis; • Processing allegations of untruthfulness, racial bias, domestic violence, and
physical force;
• Managing search and seizure activity; and • Reporting and review of traffic stop and arrest data.

These protocols have been reviewed by the auditor, and found to be reasonable and effective responses to the requirements of the consent decree, and in fact, in many cases, to move beyond the requirements of the decree.

Status:

Primary: In compliance

Secondary: Unable to Assess Until April 16, 1998

Operational: Unable to Assess Until April 16, 1998

2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 13 requires the City to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the City to submit the policy to Justice approval prior to implementation.
Methodology
The auditor has reviewed the PBP’s use of force policy, which was completed prior to the deadline, and has assessed the policy for conformance to national standards and applicable law. The newly drafted policy, effective August 15,
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1997 is well written, and is designed to allow the Bureau to control effectively the use of force by the Bureau’s officers.

Promulgation of the policy and the necessary training to implement it have been completed. Reporting and supervisory review processes, articulated in the policy, have not yet been institutionalized (see section 2.8 for a detailed discussion of this aspect of the use of force policy).

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 14 requires the City to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.

Methodology

The auditor has reviewed PBP policy 45-1, “Strip and Body Cavity Searches.” The policy conforms to all requirements of the decree, and was promulgated and effective November 10, 1997. The auditor sees no potential problems with the policy if it is implemented as written. However, the requisite training, reporting requirements and supervisory review have yet to be institutionalized.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL
Paragraph 15 requires the City to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.

The City has conformed to paragraph 15 through development of several related policies, each of which requires a written report any time a police officer performs any of the above-listed actions. In addition, these protocols are supported by specific policies (12-6, Use of Force, 45-2 Warrantless Searches and Seizures, and 45-1 Strip and Body Cavity Searches). Each of these policies stipulates specific reporting procedures which are in conformance with the requirements of the decree, c.f., 12-6 @ 6.6, 45-1 @ 5.1, and 45-2 @ 3.1. However, given the fact that some of these policies were only recently approved, the necessary training, reporting and supervisory review processes have yet to be institutionalized. The Department of Justice has approved these protocols
the decree (Use of Force on August 4, 1997 and Search and Seizure on November 10, 1997) based on the City’s submission on July 16, 1997. The Search and Seizure protocol approval was delayed by discussion between the City and Justice regarding specific provisions. Training regarding Use of Force reporting has been completed, and the reporting forms and guidelines have been implemented.

Even though training has been provided regarding reporting of use of force by PBP officers, the auditor’s assessment of the reporting process indicates that the City has yet to attain secondary compliance with the process (see Section 2.8, below).

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.6 Assessing Compliance with Task 16: Reporting Traffic Stops

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 16 requires the City to establish reporting requirements each time a police officer makes a traffic stop. The City has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. These practices are currently under negotiation between the City and Justice, and awaiting finalization prior to promulgation. Obviously, the next steps in the process of compliance are approval, training, establishing and enforcing reporting and supervisory review processes.

Status:

Primary: In Compliance2 Secondary: Not in Compliance Operational: Not in Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the EWS

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL

Paragraph 17 requires the City to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The City has developed protocols requiring such entry, and is awaiting completion of the EWS automated system.

Status:

Pending

2 The City submitted the required protocol in a timely fashion. On-going negotiations between the City and Justice are currently underway.
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2.8 Assessing Compliance with Task 18: Audits of Use of Force

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 18 requires the City to cause supervisors and senior supervisors to conduct “regular audits” of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.
Methodology
The audit team conducted a random selection of 15 “Subject Resistance Reports” completed by PBP officers, and reviewed by PBP supervisors and senior supervisors, pursuant to policy developed by the Chief of Police. The policy requires PBP officers to complete a SRR any time they use force to subdue a subject. Each of the reports selected was reviewed to ensure that the:
• Form was properly executed; • Form was reviewed by supervisors and senior supervisors within one week; • Supervisory review identifies problems with the use of force, where
appropriate; and • Review process is being implemented as required by the decree.
The results of the review indicate that the City is in primary compliance with the requirement of the decree: the policy regarding use of force reporting has been written and disseminated; the forms are being completed and reviewed; the forms are being forwarded to the training academy and to the administration division; and the forms are being filed as would be expected.
Despite the Bureau’s efforts at primary compliance, however, it falls short in secondary and “operational” compliance. The auditor’s review of only 15 of the Bureau’s SRRs uncovered a police shooting which had been reported on the SRR form as an “other” use of force, rather than an “Intentional Firearm Discharge” as required by the SRR. Further, this error was not caught by the officer’s immediate supervisor, who failed to sign the form, as required. More importantly, the error was not caught by the shift lieutenant, who, despite signing the form, did not note that a shot had been fired—that the use of force
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was deadly force, not “Other.” This discrepancy was also overlooked by the zone commander, who failed to sign the form as required by policy. It was also overlooked by the review process at headquarters.

Further, the auditor found that this incident, which supervisory, senior supervisory or command personnel should have referred to OMI for investigation was not properly processed. At a minimum, the shooting was required by the decree to be referred to OMI. No such referral was made, and, to date, OMI has not been requested to investigate the firearms discharge. In addition, numerous SRRs were found to lack supervisors’ signatures, lieutenants’ signatures or commanders’ signatures. None of these omissions were noted by command review, indicating that, despite the work in primary compliance, the review of Subject Resistance Reports has not been internalized by supervisory, senior supervisory and command staff throughout the PBP zones and headquarters.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. To be effective, this requirement, in the judgment of the auditor, requires an automated system, similar to that planned by the automated Early Warning System. The anticipated first date that SRRs can be meaningfully reviewed for patterns is April 16, 1998, upon implementation of the EWS.

Status:

Pending

2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command

Paragraph 19-a requires the City to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has just recently been approved, and training and implementation has yet to begin.

Status:

Pending

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2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Paragraph 19-b requires the City to analyze the search and seizure activity of its officers on a quarterly basis. The protocols and policies for search and seizure reporting have just been completed, and training and implementation has yet to begin.

Status:

Pending

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-a requires the City to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The Bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial bias. None were found that were investigated between September 16 and November 15, 1997.

Status: 2.10.1

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit
Compliance with Task 20-b: Quarterly Analysis of Racial Bias Allegations

Paragraph 20-b requires supervisors to use the EWS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. Until the City’s EWS is brought on-line in April, 1998, supervisors cannot reasonably be expected to comply with this stipulation.

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Status:

Pending

Page 15

2.11 Compliance with Task 21-a: Imposing Appropriate Discipline

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 21-a requires the City to impose appropriate discipline after evaluating officer behavior.

Methodology

The auditor reviewed each of the eleven disciplinary actions taken by the PBP between September 16 and November 15, 1997. All of the disciplinary action taken during this period was for violation of internal PBP policies, rather than as a result of a citizen’s complaint. All of the discipline imposed appeared to be appropriate and in line with the infraction and the officers’ past records.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL
Paragraph 21-b requires the City to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on reviews of officer behavior.
Methodology
The auditor reviewed the Bureau’s disciplinary processes for the period September 16 through November 15, 1997. All discipline assigned during this
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period—all for violations of internal police policies—appeared appropriate, based on the infractions.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.11.2 Compliance with Task 21-c: Consider Prior Record in Determining Discipline

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 21-c requires the City to consider an officer’s prior record in determining discipline.

Methodology

The auditor reviewed each of the eleven disciplinary decisions made by the Bureau between September 16 and November 15, 1997. During this review, evidence was noted indicating that the Bureau was using information regarding previous complaint histories in making disciplinary decisions. In amending one “Disciplinary Action Report” from an oral reprimand to a written reprimand, an assistant chief noted “Second DAR in eight months.” Another DAR indicated an officer receiving a one-day suspension “as a prior violation [of the same policy] was a written reprimand.” Still another DAR noted “Second such offense in a month.” It is clear from these comments that Bureau supervisors and commanders are considering previous disciplinary records in assigning discipline to PBP personnel.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 22 requires the PBP to establish disciplinary action files, or “performance files” at the zone level.

Methodology

The auditor visited each police zone and pulled a random sample of officers’ performance files. These files were assessed for compliance with the requirement that states that the files would include:

• Officer’s Name; • Discipline Imposed; • OMI File Number; and • A Description of Factors Considered.

In addition, the auditor assessed the same officers’ files in the PBP centralized personnel records system, to assess the level of accuracy of the zone files.

As with the requirement to assess use of force issues, the Bureau is in primary compliance with the stipulation of task 22: A series of chief’s orders has been promulgated (97-009 and 97-024), establishing a requirement for zone commanders to maintain “performance files” which conform to the requirements of the consent decree. As with the requirement to assess use of force issues, however, the Bureau’s conformance at the zone level is inconsistent.

Many of the files located by the auditor were obviously new, and many were empty. In addition, less than 50 percent of the officers’ files at the zones accurately reflected the officers’ disciplinary history as shown in the centralized files at the personnel unit.

Status:

Primary: In compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.13 Compliance with Task 23: Annual Performance Evaluation

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 23 requires the City to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

The Bureau’s progress to date has produced no records that can be audited. The Bureau has developed a performance evaluation policy which appears to meet the requirements of the decree, and will be implemented in January, 1998. The first wave of performance evaluations are scheduled for June, 1998. We anticipate that the fourth Auditor’s Quarterly Report will be able to assess the performance evaluation process.

Status:

Primary: Not in Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.14 Compliance with Task 24: Performance Based Promotion

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 24 requires the City to use performance evaluations as a factor in promotional decisions.
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Methodology

The Bureau’s progress to date has produced no records that can be audited. The Bureau has developed a performance evaluation policy which appears to meet the requirements of the decree, and the first wave of performance evaluations are scheduled for June, 1998. Promotions using these data, obviously, cannot be made until a later date. We anticipate that future Auditor’s Quarterly Reports will be able to assess the performance evaluation-based promotions.

Status:

Unable to Audit

2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 25 requires the City to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.
Methodology
The auditor visited each zone station to assess the degree of compliance with paragraph 25. During the site visit, the auditor reviewed zone performance files, and conducted walk through inspections of zone facilities such as bulletin boards and office space. The auditor reviewed counseling personnel’s certifications to ensure conformance with the stipulation of the decree.
Evidence exists to support the Bureau’s operational compliance with paragraph 25. The review of zone “performance files” indicates that the EAP is being used by departmental personnel and departmental managers. The counselors assigned to the EAP were interviewed by the auditor’s staff, and appear to be both experienced and knowledgeable concerning EAP practice and standards. It
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appears that EAP participation is non-retributive and meets established practice for such programs.

While departmental policy requires the posting of EAP flyers at each of the zone stations, of the seven zones visited, two did not have the flyers readily visible in the stations. The lack of flyers at the zones, while a technicality, builds sufficient problems to preclude an assessment of “in compliance” for the secondary compliance measure.

Status:

Primary: In Compliance Secondary: Not In Compliance Operational: Not In Compliance

2.16 Compliance with Task 26: Notification of Adverse Involvement

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL
Paragraph 26 requires the City to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the City to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.
Methodology
During the auditor’s review of departmental personnel files, the files were assessed for evidence of implementation of PBP Policy 44-5, effective 8-25-97, which requires notification of the chain of command any time:
• A warrant is to be served on a member of the service; • A protective order is to be served on a member of the service; • An on-scene arrest is made of a member of the service; • An officer is arrested by another agency other than the PBP; or • An officer of the service is the subject of a civil suit.

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The auditor’s review of personnel records identified at least one incident in which an officer had been found liable by a civil jury and was reasonably disciplined as a result of that act. In addition, documents exist in the Bureau’s personnel files regarding notification of the City Solicitor’s Office of PBP officers who had been the subject of civil suits.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL
Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings against PBP officers concerning allegations of false arrest or improper search and seizure. This paragraph also requires the Bureau to implement appropriate discipline for officers convicted of these offenses.

Methodology

A review of records available during the time frame of the first quarterly audit indicated no criminal proceedings in progress against PBP officers; however, the Bureau has established an agreement with the District Attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

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2.18 Compliance with Task 28: Settled Litigation

Sanctions for Officers Involved in

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 28 requires the City to implement appropriate discipline “as the circumstances and OMI investigation warrant,” in all instances in which PBP officers are the subject of civil litigation.

Methodology

During the course of review of records for the first quarterly audit, the auditor noted at least one case in which an officer was “counseled” for his involvement in a case involving civil litigation. The judgment call in this case indicated that the command staff of the Bureau are intently interested in conformance with the decree, as the civil case appeared to be one in which the officer had not committed a “punishable act,” but had been held liable by the jury.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 29 requires the City to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.
Methodology

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Page 23

The auditor interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. Since September, 1997 the legal advisor has provided 21 legal bulletins for PBP personnel. These were available on bulletin boards at the zones, and observed by the auditor during site visits.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.20 Compliance with Task 30: Develop a Rotation Schedule

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP has not progressed on planning for this task to a point that it has produced data that can be audited. Since the elements of this task affect the City’s contract with the police union, negotiations concerning the workability of a proposed rotation schedule have delayed the City’s response to this task. Nonetheless, a rotation policy has been written, and rotation of supervisory personnel will begin in January, 1998.

Status:

Primary: In compliance Secondary: Not in Compliance Operational: Not in Compliance

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Page 24
2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 31 requires the PBP to “make every effort” to participate in community meetings, including those oriented toward minority groups.

Methodology

The auditor reviewed monthly attendance logs for police zones for the months of July-September, 1997. The logs show multiple community meetings attended by PBP personnel. The meetings were attended by command level personnel, line personnel, and supervisory personnel. No agenda for these meetings were available.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the City to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.
Methodology

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Page 25

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. To date, the City has not televised any information concerning OMI. The City has printed brochures explaining the OMI complaint process, and is distributing those during the normal course of business.

Status:

Primary: Not in compliance Secondary: Not in Compliance Operational: Not in Compliance

Auditor’s Note: The following sections assess the Bureau’s performance in response to requirements for training. The consent decree establishes a “default” timeline for all training at 90 days from date of entry of the decree. In the auditor’s opinion, not only is it not probable that such a timeline can be met, given the scope of the training required by the decree, but to do so would almost certainly preclude a careful analysis of the exact goals, objectives, nature, quality, timbre, and tone of the training. A meaningful training program should be viewed as having a 6- to 12-month planning phase, a one-year implementation phase, and an “on-going” evaluation, assessment and revision phase. The following sections find the PBP not in compliance with most of the training provisions. This comes as no surprise, given the nature of the tasks confronting the PBP and the fact that

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 33 requires the City to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.
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Page 26

Methodology

The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service and recruit training, have conducted a site walk-through of the training academy, and have interviewed a majority of the personnel assigned to the training academy. The Bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Through December, 1997, the Bureau had trained approximately 80 percent of its officers in the topics of cultural diversity, verbal “effective communication” and ethics. The Bureau’s training plan calls for completion in February, 1998.

A review of the curriculum for the cultural diversity component of the PBP

training curricula indicated that the topics covered appeared to meet the

requirements of paragraph 33; however, the Bureau’s own review of the quality

of the training has led it to consider contracting with a new training provider for

future sessions. The auditor takes this as a remarkably positive fact, since it

indicates that the Bureau is interested in attaining compliance with both the

letter and spirit of the decree, not just in meeting minimum requirements. While

the Bureau is obviously not in compliance with the requirements of the decree,

their insistence on

training, not just training, is in keeping with the

auditor’s perception of other attempts at compliance generated by the Bureau:

perhaps falling short in meeting timelines, but insisting on quality.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 34 requires the City to establish monitoring systems which will assess citizens complaints for indicators of needs in training or re-training. The Bureau has established a system in which OMI forwards a copy of a summary of all
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citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also to be sent to the training academy for review.

Methodology

The auditor reviewed records at the Training Academy, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports. Based on our review of the academy records system it was not clear that these reports were being received in a timely and routine manner. Further, while the Academy is receiving Subject Resistance Reports, our review of academy records indicates that these too appear to not be forwarded on a routine and consistent basis.

It is clear, however, that the Deputy Chief of Operations is reviewing reports of use of force and is communicating his review to subordinates. The degree of follow up to the Deputy Chief’s review, however, is unclear from the record. This may be a task that will depend on the EWS, or some intensive systems redesign in the way reports (and which reports) are forwarded and analyzed by the Academy and command staff.

In addition, The auditor did find that the academy was reviewing the reports that it did receive. For example, copies of the Subject Resistance Reports were scanned by the academy staff and notes for training requirements were made based on those records. Unfortunately, the academy appears not to be receiving the SRRs on a regular and routine basis, and an audit of those reports also indicated several reports missing from the Academy SRR database.

Status:

Primary: In compliance Secondary: Not in Compliance Operational: Not in Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

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Page 28

Paragraph 35 requires the City to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de-escalation training “into all other training that implicates the use of force.”

Methodology

The City is currently under contract with a nationally recognized consultant to deliver a series of classes on “verbal judo,” a process of verbal de-escalation which is recognized nationally as effective in reducing police-involved violence. The auditor is familiar with this curriculum, and believes that, if it is implemented as required by the decree, it will meet and exceed the requirements of the decree. Currently, the contract calls for delivery of a “train the trainers” session to selected PBP personnel in March, 1998, following training of the command staff in January, 1998.

Operational compliance with this paragraph would require, in the opinion of the auditor, a complete in-service and recruit curriculum review to identify curriculum items that relate to use of force—or the avoidance thereof—and insertion of training elements in verbal de-escalation. To date, given the documents reviewed by the auditor, this step has not been contemplated.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 36 requires the City to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation “at the beginning of the training curriculum to serve as a foundation for all other classes.” The last recruit class offered by the PBP ran from May 19, 1997 through October 24, 1997. The recruit curriculum offers “ethics” training in weeks three and four, human
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relations skills in weeks four and five, multi-cultural training in week six. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 37 requires the City to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the Bureau’s curriculum outlines for cultural diversity and ethics. In addition, the auditor has reviewed other curriculum components which he asked to be forwarded for review. The Academy’s maintenance of training records for non-mandatory training is not up to date. The training required in paragraph 37 is considered non-mandatory training by the Academy, thus no data are available to assess—reasonably—the extent to which the Bureau has complied with the requirements of this paragraph. It is highly probable that, until the records are updated to reflect recent training activity, a true audit of the process will not be possible.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

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2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 38 requires the City to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

The auditor assessed primary steps necessary to complete the tasks required by this paragraph. No hard data were available to identify training plans, curricula, objectives, etc. The Bureau has, however, completed work on a script for a training video, and the script has, reportedly passed legal review. An initial session was presented by the OMI manager to recruits. However, the training of “all officers” in the OMI complaint process has not yet begun, and no formal schedule for such training was available at the time of production of this report.

Status:

Primary: Not in Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.29 Compliance with Task 39:

Encourage Qualified FTO

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 39 requires the city to recruit “highly qualified” Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the City to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.
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Methodology

The auditor selected slightly more than a 50 percent sample of the 25 newly appointed FTOs selected by the Bureau for its new recruits. Each of the 13 records selected was screened for poor disciplinary record, complaint history, and past performance. Given the Bureau’s delay in implementing paragraph 23 (performance evaluations) these evaluations could not be used in selecting the FTOs appointed in July, 1997. The review covered other factors required by paragraph 39. The auditor did not pull instructors’ files for this quarter.

The auditor found all of the 13 officers’ files to be reflective of police careers that would recommend a role as an FTO. The field training officers’ records were clean of any civilian complaints that would require disqualification as an FTO. The discipline that was assigned, in the few cases in which it was uncovered, was for minor infractions—wearing the wrong color T-shirt, improper attire for court, and accidental firearm discharge in the station house.

Status:

Primary: Not in Compliance—due to lack of performance evaluations Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40:

Train all FTOs and Instructors

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 40 requires the City to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the City require FTOs and instructors to “demonstrate on a regular basis, their proficiency in their areas of instruction.”
Methodology
The auditor reviewed the training curriculum for FTOs and instructors provided through contract for the PBP. All instructors and FTOs are first “instructor development certified” by either the Federal Bureau of Investigation or Indiana
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University-Pennsylvania. FTOs then receive an additional five days of training at the PBP Academy for specific FTO-related topics. Despite the specific provisions of paragraph 40 which requires “demonstration on a regular basis…[of] proficiency in their areas of instruction,” the Police Bureau requires no such formal demonstration. The Police Bureau does assess the FTO process through an informal process requiring Academy-based Field Training Supervisors to meet each week to “discuss calls the recruits have answered, training that may be warranted, and the daily evaluation reports completed by the FTO” (Memorandum from Commander McDonald to Deputy Chief Moffatt, December, 1997).

According to the Police Bureau, the Municipal Police Officers Education and Training Commission “audits” the in-class performance of PBP instructors; however, the auditor has not been able to review the results of these audits.

While these processes can form the foundation for compliance with paragraph 40, they will need to be formalized, with specific goals, objectives and reporting procedures to meet the auditor’s interpretation of the requirements for secondary and operational compliance.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.31 Compliance with Task 41: Maintenance of Training Records

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 41 requires the City to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”
Methodology
The auditor conducted a thorough review of the Academy’s training records during a site visit to the Academy. Selected training curricula were assessed,
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and specific documents were selected and requested to be forwarded to the auditor for further analysis. This included training sign-in logs for all “nonmandatory” training, defined as training not required by the State of Pennsylvania. The auditor required the “non-mandatory” sign-in logs since electronic data entry was not up to date, and not available to provide print outs of training received for each officer. Obviously, the “non-mandatory” training is of most interest to this audit To date, while the Bureau does maintain training records, the records of interest to this audit are not maintained in useable format. The Bureau does, however, have the necessary policy and procedure (e.g., an automated records system) in place; however, the policy is not being complied with in a satisfactory manner, i.e., the records for non-mandatory training are not up to date. Until the backlog in data entry is cleared up, the Bureau will remain out of compliance at the secondary and operational level.

Compliance will require, in the opinion of the auditor, implementation of a specific, written record retention protocol for the Academy and specific focus on maintaining accurate and timely records of training activity—by officer, topic, hours, date, and test score.

Further, only the state-mandated training—most of which is not of direct interest to this audit—is “test verified” by the Bureau. Thus the “training” of interest to those involved in the consent decree is not supported by testing. Given this existing process, there is no reasonable method by which the auditor, the City, the Department of Justice or others can judge whether the training was “completed successfully.” Until methods of testing—either through written tests or performance-based tests, or both—are developed, it is the opinion of the auditor that the Bureau will remain out of compliance with the requirements of paragraph 41.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.32 Compliance with Task 42:

Document Mandatory Counselings

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

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Paragraph 42 requires the City document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of personnel files for officers of the PBP, a notation was made regarding mandatory counseling required by the Bureau for officers. If these counselings were being documented, one would expect to find evidence of same in a random review of personnel files. The auditor found several instances of mandatory counseling being required, as well as specific retraining focused for officers who had been the focus of numerous complaints in the past. It is recommended that a centralized file documenting these counselings be instituted within the Bureau.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Training

Annual Supervisory and Leadership

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 43 requires the City to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.
Methodology
The auditor assessed the training records for PBP senior supervisors. Since much of this training is non-mandatory, the Academy records were not reflective of current status of this training. From the records available, it appears that the
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PBP has begun the process of providing annual in-service training for senior supervisors (and supervisors) in the topics of integrity, cultural diversity and command accountability.

It appears, from the records available at this time, that nearly one-half of all senior supervisors have been trained at Pennsylvania State University’s “POLEX” command staff training program. In addition, the Bureau has developed inhouse training for supervisors and senior supervisors in cultural diversity. An inservice component on “ethics” has been developed, and plans exist to include that component in the Bureau’s annual in-service training for supervisors.

To remain in compliance, the Bureau’s in-service training plan should continue on an annual basis, and all remaining senior supervisors should be provided training in ethics and command accountability.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.34 Compliance with Task 44: OMI Quality Assurance
Paragraph 44 requires the City to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.
Methodology
The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.
Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available—through several databases—for OMI investigations from 1986 through 1997. While these databases are available, they appear to be unsuitable for use as a long-term management tool.
Further, this paragraph requires that OMI prepare complaint histories from the Early Warning System. Obviously, the City cannot come into compliance with this paragraph until April, 1998, when the EWS comes on-line.
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Status:

Pending

Page 36

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 45 requires the City to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

The auditor has reviewed Chief’s Orders 97-009 and 97-024 which established the zone “performance files.” These orders required the creation of disciplinary files at the zone level which “contain all OMI and non-OMI complaints that have been filed against the officer,” (CO 97-009). CO 97-024 requires that performance files “shall be available to personnel within the officers’ chain of command who are responsible for the officers’ training, counseling, or discipline.” The auditor visited each zone, and pulled a random selection of “performance files” for inspection. In addition, the files were assessed for reasonable accessibility for sergeants, lieutenants and commanders who supervise sworn officers.

While the Chief’s Orders establishing the performance file system are clear, implementation of the process at the zone level is lacking. While provisions for access to subordinates’ files are somewhat cumbersome, they do provide access. In the opinion of the auditor, the existing system, which requires supervisors on the night turn to request access from the commander during hours that the commander normally does not work, may be the best-available solution until the EWS comes on line.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

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2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY
SECONDARY OPERATIONAL
Paragraph 46 requires the City maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the City to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be “identical” to that received by OMI police investigators. The paragraph further requires that the City make the OMI manual available for inspection at PBP facilities and at the OMI office.
Methodology
The auditor reviewed the OMI manual, as promulgated on December 1, 1997, and assessed OMI training documents. The OMI Manual of Policy and Procedure appears from initial review to be an effective guide to investigation of civilian complaints.3 The manual has been made available at PBP zone stations and disseminated to OMI personnel effective December 1, 1997.
Records provided by OMI indicate that four OMI investigators have received training at the PBP Training Academy between June and November, 1997. This training included cultural diversity (three investigators); and application of force, authority and jurisdiction, and use of force (four investigators).
While paragraph 46 requires that civilian investigators receive academy-based training in 15 separate areas there is no indication in the record that the Office has taken steps to obtain all of the required training. In addition, no formal

3 Specific comments will be provided to OMI, by the auditor, after a thorough review of the which was delivered on December 1, 1997 Auditor’s Quarterly Report December, 1997 Public Management Resources San Antonio, Texas

Page 38

“training plan” exists which would effectively meet this requirement. It is clear to the auditor, based on a review of OMI work product, that additional training is required for OMI investigative and management personnel (see section 2.51 and 2.52, below).

While the Office is in primary compliance with the requirements relating to promulgation of an OMI manual, it fails to meet the other stipulations of paragraph 46.

Status:

Primary: Not in Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.37 Compliance with Task 47:

Receipt of Complaints

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 47 requires the City to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.
Methodology
The auditor reviewed pending and completed OMI complaints to assess the method of receipt and to determine if any complainants were “required” to complete any OMI form prior to receipt of the complaint and initiation of the investigation. The revised OMI manual was assessed to determine levels of compliance with the stipulations of paragraph 47 and the consent decree. The OMI manual requires that complaints will be received via telephone, facsimile, mail, or in person, as well as anonymously. OMI form 103-97 includes a checkbox for each receipt method. Further, the auditor assessed completed OMI complaint investigations to determine if complaints were being received in accordance with the decree.
No evidence was available in the completed investigations reviewed to indicate the particular method by which complaints were being received. No evidence was available in the completed investigations reviewed to indicate that
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complainants were—or were not--being required to complete forms prior to initiation of an investigation.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 48 requires that the City accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

The auditor reviewed completed OMI investigations for indications that the complaint was generated by an anonymous complaint. The OMI policy manual was assessed to determine if it required receipt and investigation of anonymous and third party complaints. The OMI manual specifically addresses anonymous and third party complaints (section 6.5), and indicates that such complaints will be investigated to the fullest ability of the unit. A review of the completed investigations did not indicate that anonymous or third party complaints were—or were not--being investigated. This does not necessarily indicate that OMI is not investigating these complaints. The files, in most cases, simply do not indicate the nature of the complaint.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

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2.39 Compliance with Task 49:

Page 40
Closure of OMI Investigations

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

The OMI Policy and Procedures Manual states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. No records were found, in the complaints reviewed by the auditor, relating to withdrawn complaints. In the experience of the auditor, withdrawal of complaints is a relatively rare event, and, given the relatively small numbers of complaints reviewed to date, it is not surprising that no indicators of withdrawn complaints were found. The OMI
is relatively new, finalized in December, 1997, and training of OMI staff in the policies included in the manual has not yet been completed. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. The auditor found no indication in any record that indicated that this is not the practice of the OMI unit.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.40 Compliance with Task 50: Relocate OMI

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 50 requires the City to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the City publicize the new OMI location.
Methodology

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The auditor has taken a walk-through of OMI’s new office location at 564 Forbes Ave., suite 1010, has walked from the OMI office to the nearest bus stop, and has ensured that no other PBP personnel were officed in the same building. The new facilities for OMI are business-class and well suited to professional operations. The auditor also requested copies of publicity used by OMI to notify citizens of the new location. This “publicity” consisted of a one-page flyer, placed in unspecified locations, stating the new location

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance—pending notice

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 51 precludes the City from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the City to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The City is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings “in all City buildings.”
Methodology
The auditor reviewed attendance logs for OMI’s quarterly meetings, reviewed the newly developed OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings, and requested copies of publicity documents posted by OMI relative to the quarterly meetings. Further, the auditor assessed completed OMI investigations to attempt to identify whether or not complainants were required to come to a PBP facility to register a complaint.
The quarterly attendance logs indicate that OMI personnel have been conforming to the requirement to attend quarterly meetings. While they offer to take complaints at these meetings, according to staff, no such complaints have been registered or investigated. The OMI manual, at section 4-1(B) stipulates that “OMI
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also accepts complaints during quarterly, off-premises meetings in rotating zones.” However, OMI staff could not provide copies of publicity notices used to publicize the OMI quarterly meetings “in all City buildings.”

While the City is in compliance with all aspects of this paragraph except one, that element is perhaps the most essential element of compliance. The missing element is publicity of zone meetings. Absent notice, the other elements of the tasks outlined in this paragraph cannot be effectively met.

Status:

Primary: Not In Compliance—absent notice Secondary: Not in Compliance—absent notice Operational: Not in Compliance—absent notice

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 52 requires the City to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.
Methodology
The auditor attempted to track the paper trail from OMI to zone-level senior supervisors, and to find any evidence at the zone level of notification from OMI of use of force, improper search or seizure or racial bias. OMI does issues monthly reports identifying officers complained against, the type of complaint and a brief narrative. These reports are forwarded to the Chief of Police, and the Deputy Chief for Operations. In addition, any complaint alleging racial bias is automatically forwarded to the Human Relations Commission (although this process is not treated in the new OMI manual). Unfortunately, the auditor was unable to find any evidence that these monthly reports, or any other routine form of notification, make their way to the zone commanders, where senior supervisors in their chain of command could make use of the information. The auditor failed to find a single OMI “notification” of excessive force complaints, complaints of
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improper search or seizure, or complaints of racial bias in any of the zone files. This was true despite the fact that numerous complaints alleging these problems had been lodged with OMI in recent months.

The auditor did find evidence of a proactive use of data regarding citizen complaints at the level of the Deputy Chief for Operations (DCO), who, it was noted, frequently included discussions of such data in his presentations at command staff meetings. Given this stance on the part of the DCO, the City is in primary compliance with task 52.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.43 Compliance with Task 53: Investigation

Responsibility for Complaint

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 53 requires the City to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to “settle” OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.
Methodology
The auditor reviewed the OMI manual for sections relating to paragraph 53, interviewed OMI personnel, and reviewed OMI case files for any indication of incompleted or “withdrawn or settled” OMI cases. Section 2-1 of OMI’s new manual charges OMI with jurisdiction to “investigate all personnel of any department of the City of Pittsburgh...” and specifically notes the departments over which OMI has investigative authority, including the PBP.
In addition, the auditor reviewed Disciplinary Action Reports filed by the Bureau during the time frame of this audit for evidence of supervisory or command staff
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over-ruling or changing OMI findings. While the auditor’s review (for other areas of this decree) did find such processes prior to September 16, 1997, none were found in data for this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Number on Request

Officers to Provide Name and Badge

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, “Conduct Toward the Public” requires that PBP officers “When requested by any person, a member shall give his name and badge number in a courteous manner.

Methodology

The auditor reviewed citizens’ complaints for the period of September 16, 1997 through November 15, 1997 for allegations of failure to provide name or badge number. While such complaints were noted, none of these complaints were sustained. Given the department’s performance to date, there is no indication that paragraph 54 is not being complied with. The auditor will continue to assess complaints for compliance with paragraph 54.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.45 Compliance with Task 55: Alternative Sites

Page 45
Interview of Complainants at

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI stipulates that OMI will arrange to interview complainants “off-site,” if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted “off site.” No consistent information was avaiable from which to make such a determination. To provide documentation that such events do occur, all investigators should take care to note the date, time and location of interviews in their taped/transcribed statements, and in any forms relating to interviews.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.46 Compliance with Task 56: Interviews

OMI to Tape and Transcribe

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept “special reports” in lieu of an interview. Further OMI is required
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to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

The OMI manual stipulates a “Tape Recorded Statement Form” and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed the completed investigations provided by OMI based on a random 50 percent selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. Not all cases reviewed included transcriptions of OMI interviews of officers, witnesses or complainants. Many of the cases selected for review included written reports from officers, rather than taped and transcribed interviews.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.47 Compliance with Task 57:

OMI Staff Access to EWS

Paragraph 57 stipulates that OMI staff should be provided access to the City’s Early Warning System. Current plans call for such access; however, this access cannot be audited until April, 1998, when the EWS comes on-line.

Status:

Pending

2.48 Compliance with Task 58:

OMI to Interview Supervisors at

Scenes of Incidents Leading to Allegations of Misconduct

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The

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supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

The auditor reviewed the OMI manual for language stipulating that supervisors and senior supervisors be interviewed. Section 6-1(M) of the OMI manual identifies a requirement that OMI locate any supervisors or senior supervisors, and interview them regarding incidents in which they “participated” or were involved. Further, several of the OMI case reports which were reviewed lacked any evidence that the investigator had attempted to locate any potential supervisors at the scene. For example, none included dispatch records for supervisory or senior supervisory personnel.

While the OMI manual contains language concerning the need to interview senior supervisors and supervisors, it does not require OMI investigators to determine the supervisors’ “handling of … situation[s] during and after the alleged incident[s] and their observations of the complainant[s] and the accused officers.” The manual should be updated as soon as practicable to include this language.

Status:

Primary: Not in Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.49 Compliance with Task 59:

OMI to Canvass for Witnesses

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 59 requires OMI to canvas the scene of an incident for witnesses “as soon as possible” after receiving a complaint where canvassing could “reasonably yield” additional information.
Methodology

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Page 48

The auditor reviewed the OMI manual, Section 6-1G, which requires neighborhood canvasses, “as soon as possible” after receiving a complaint. The auditor reviewed completed case files furnished by OMI for evidence of witnesses who were located through the process of canvassing.
The auditor reviewed a randomly selected sample4 of completed OMI cases for the first quarter (September 16-November 15, 1997) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Despite noting several investigations in which the available evidence amounted to the officer’s word against the complainant’s, the auditor could find no evidence of canvassing for witnesses in those incidents. Further, many cases appear to go 30-60 days before any meaningful investigation is conducted into the allegations, yielding a low probability of locating a witness through a neighborhood canvas, even if one were done at that time.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.50 Compliance with Task 60:

OMI to Review Police Shootings

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL
Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.
Methodology
The auditor reviewed a randomly selected sample of 50 percent of all OMI cases completed from September 16, 1997 through November 15, 1997. During that
4 According to data provided by OMI, a total of 24 OMI cases were completed during the audit period. The randomly selected sample consisted of 12 cases, labeled AQR1-A through AQR1-L. These cases were selected using a random number generator to select cases weekly, from a sampling frame of all cases completed during the week. The cases selected for review are identified by separate memorandum to the City and Justice. The cases not selected for audit were numbered AQR1-M through AQR1-X.
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review, the auditor assessed at least one OMI review of a police-involved shooting. That review appeared to be cursory, yielding no indication that the OMI staff had reviewed the investigative report of the police shooting investigation team. The review was completed, however, as required by task 60.

More disturbing, however, is the existence of a police-involved shooting which was not referred to OMI for investigation. A Subject Resistance Report, dated 98-97, filed by a PBP patrol officer, detailed a shot fired at an armed suspect who pointed a pistol at the officer while fleeing. The report was marked under “Level of Control Used” as “Other,” rather than as “Intentional Discharge of a Firearm.”

The auditor could find no record of this officer-involved shooting having been
referred to OMI for investigation, even though the SRR was subjected to review by the chain of command.5

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.51 Compliance with Task 61: Allegations of Misconduct

OMI to Aggressively Investigate

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 61 requires that OMI investigators “aggressively” investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.
Methodology

5 The involved officer’s immediate supervisor and commander failed to sign the report, although his supervising lieutenant did sign the document. This incident may have occurred due to the fact that the officer worked in Zone 4, while the shooting took place in Zone 5. Regardless, it indicates a problem in referral to OMI for their review, as well as other problems noted in Section 2.7, above. Additional information indicates that the failure to sign may be a problem of systems design, in that blank signature blocks may represent supervisors who were not on duty at the time of the shooting.
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The auditor reviewed a randomly selected sample of OMI investigations completed from September 16 to November 15, 1997 to assess the level of compliance with paragraph 61. During the course of this review, the auditor noted numerous incidences of OMI investigators placing the burden of the investigation on the complainant. OMI case investigations completed in 97 which indicated such problems were:
• AQR1-F6, in which the investigator discounted the complainant’s allegations because they could not produce receipts for clothing that was supposedly damaged during a search, and which contained no evidence of an attempt to identify uninvolved witnesses—despite an obvious need to do so;
• AQR1-G, in which the investigator notes that the complainant did not provide the names of any witnesses—and yet indicates no effort on the part of the investigator to locate witnesses—and further places the investigative burden on the complainant;
• AQR1-H, in which the investigator explains not resolving the complaint about the officers’ actions by the fact that the complainant “submitted incomplete medical records” and that the complainant failed to keep appointments. Further, despite medical records which tend to confirm the complainant’s version of the incident, the investigator appears to have failed to canvas for neutral witnesses;
• AQR1-E, in which the investigator fails to include a copy of a letter written by a witness that could have validated the complainant’s statements, and failed to interview that witness—even though the complainant suggested the witness could corroborate her story; and
• AQR1-D, in which the investigator failed to conduct an independent canvas for witnesses, despite a case that rested on the officer’s word against the complainant’s, and failed to interview a 911 operator to whom the complainant was talking during the incident.
In addition to reviewing cases completed by OMI to assess the level of aggressiveness of OMI investigations, the auditor reviewed the recently promulgated OMI manual for stipulations requiring thorough, complete and
6 For the purposes of privacy, the Auditor’s Quarterly Reports assign OMI case investigations an “AQR” number which corresponds to the number of the quarterly report, e.g., first, second, third, etc., and a letter designation. AQR1-A designate OMI case A, discussed in the first Auditor’s Quarterly Report. Indexes of AQR case numbers tied to OMI case numbers are provided to the City and to Justice.
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“aggressive” investigations. Taken as a whole, section six of the OMI manual requires “aggressive” investigations of citizens’ complaints.

Further, it should be noted that many of the difficulties noted above with OMI

investigations

attributable to a lack of documentation, rather than a

lack of investigative effort. Unfortunately, there is no reasonable method to

determine the true nature of the deficiency without adequate documentation, in

the case files, of the investigators' efforts.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.52 Compliance with Task 62: Four Corners”

OMI to Act on Behavior “Outside the

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled “outside the four corners” of the original complaint.
Methodology
The auditor reviewed the OMI manual for reference to the requirement to note conduct “outside the four corners” of the complaint which violates departmental policy or procedures. The OMI manual refers to such complaints as “collateral misconduct,” and stipulates in Section 6-8 that “if, during the course of an OMI investigation, an OMI investigator has reason to believe that … collateral misconduct [occurred] the investigator must investigate and make findings with regard to such collateral misconduct.
The auditor also reviewed a random sample of complaints completed by OMI between September 16, 1997 and November 15, 1997. Each complaint was evaluated to determine if any behavior could be noted that would be “outside the four corners” of the original complaint. None of the complaints reviewed
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indicated an investigation of “collateral misconduct.” During the auditor’s review, however, two cases were noted that contained indications of possible collateral misconduct:

• AQR1-B, in which there are allegations that an officer working an off-duty detail struck a subject with a baton, in violation of the department’s use of force policies. The report lists the officer as “on-duty,” with no documentation from run sheets, CADS records or elsewhere, and the investigator appears not to question whether or not there was a off-duty detail request form on file.

• AQR1-E in which there are collateral allegations of untruthfulness against an officer which are ignored in the investigation—and in fact evidence which would go toward proving untruthfulness is specifically not collected or reported on.

Further, it should be noted that many of the difficulties noted above with OMI

investigations

attributable to a lack of documentation, rather than a

lack of investigative effort. Unfortunately, there is no reasonable method to

determine the true nature of the deficiency without adequate documentation, in

the case files, of the investigators' efforts.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 63 requires OMI to issue final reports on all investigation. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.

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Page 53

The auditor reviewed a random sample of complaints completed by OMI between September 16, 1997 and November 15, 1997. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. While each file contained a final report, many were incomplete, not in conformance with established practice for internal investigations, or were not in compliance with the requirements of the consent decree. Only two, however, were deemed inadequate to the point requiring additional investigation.

The auditor, in conformance with Paragraph 72 of the decree, has requested that two of the investigations be re-opened, so that they can be brought into compliance with investigative standards and with the decree. These cases are:

• AQR1-B; and • AQR1-E.

Written directions for completions of these investigations will be forwarded under separate cover to the City and to Justice by the auditor.

While each investigation completed by OMI contains a final report, these reports are not routinely complete, and do not always reflect conformance to established standards for internal investigations, thus, while the City is in primary compliance, additional work is needed to meet secondary and operational compliance with task 63.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

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Page 54
Paragraph 64 requires the City to provide OMI with “sufficient staff, funds and resources to perform the functions required” by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
The auditor conducted a routine desk audit of OMI practices, caseload and work product. OMI is currently staffed by five full-time investigators, one of whom is on disability leave. The four remaining investigators receive approximately 28 cases per month, which is expected to increase during the course of this decree. Currently, the OMI investigators “work” approximately 300 cases per year. The four investigators assigned to OMI will work, on average, 75 cases per year. The “average” OMI investigator works only 225 work days per year,7 yielding only three work days per case. Further, in 1997, OMI personnel completed 414 background investigations.
In the opinion of the auditor, based on his experience with nearly one dozen other internal investigations units, and based on a desk audit of the Office of Municipal Investigations, OMI is understaffed to perform its duties in the manner required. In the opinion of the auditor, three working days per case is not adequate to complete the type of complex investigations required of the unit at this time.
Based on currently available data, the “average” OMI case requires 218 calendar days and 155 working days to complete. Currently, the unit has approximately 150 open cases, with approximately 60 of those having been filed more than 90 days prior to November 15, 1997. OMI currently has on staff only four full-time investigators (one is absent due to a job-related injury, and has not been replaced). Simply to clear up existing case loads would require each investigator to complete 15 cases in the next two weeks, a goal not recommended due to the risk of prematurely closing cases or investigating them incompletely.
Some progress can be made by tightening up the management control on investigations: conducting case review and assignment conferences with each investigator prior to assigning the cases; reviewing investigator’s progress reports weekly, providing needed training for investigators and managers, and providing a full-time receptionist’s position—which removes investigators who are in the office writing case reports from telephone duty. In the estimate of the auditor, however, more personnel are needed immediately to release the backlog
7 Investigators are provided an average of 13 days per year of vacation, nine days sick leave, and 13 holidays per year.
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Page 55

of cases open more than 90 days. It is highly probable that, given the training regimen needed for OMI personnel and given the projected increase in the numbers of citizens’ complaints expected as a result of the decree, more personnel will be needed on a permanent basis.

Status:

Primary: Not in Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology

The auditor reviewed the OMI

, which states at

Section 7-4 that “all findings by OMI shall be based upon the ‘preponderance of

the evidence standard.’” Unfortunately, the document does not define this

standard for the reader, using applicable Pennsylvania or federal definitions. In

addition, the auditor reviewed a randomly selected sample of cases completed by

OMI during the first two months of the audit period. All of the findings reviewed

appeared to be based on the preponderance of the evidence standard; however,

given the lack of thoroughness of OMI investigations, insufficient evidence was

documented in the case files to result in a single allegation raised by a citizen

being sustained during the study period. Thus, while the City is in conformance

with requirements of paragraph 65, the quality of investigations to date does not

bring this aspect into question at the stage of development of findings.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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Page 56

2.56 Compliance with Task 66: Statements

No Preference for Officers’

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 66 stipulates that “there shall be no automatic preference of an officer’s statement over a complainant’s statement,” and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed the OMI

for references to

preferences to officer’s statements, and found none. There were, however,

references to credibility determinations (Section 6-9) which conform to the

requirements of paragraph 66. In addition, the auditor reviewed a random

sample of OMI investigations completed during the study period for indications of

conformance to this paragraph. No cases were noted in which the officers’

statements were given preference, and most credibility statements were

documented.

As noted above, however, given the relative lack of thoroughness of OMI investigations reviewed by the auditor, insufficient evidence existed in the case files to result in a single allegation raised by a citizen being sustained during the study period. Thus, while the City is in conformance with some requirements of paragraph 66, the quality of investigations to date does allow an assessment of conformance to the paragraph.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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Page 57

2.57 Compliance with Task 67: Authority

OMI Retains Final Investigative

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between September 16, and November 15, 1997 and which resulted in a sustained finding. Each case was reviewed for evidence of a “reversed” OMI finding by a supervisor or senior supervisor. No such evidence was found. It is clear from the record provided and assessed during this quarter that the department is in full compliance with paragraph.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Resolved”

Change “Not Sustained” to “Not

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

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Page 58

Paragraph 68 requires the City to change the OMI disposition category of “Not Sustained”

Methodology

The auditor reviewed the OMI manual, which stipulates at 7-1B, that cases which generate “evidence that is insufficient to prove or disprove that accountability standards have been violated” will be classified as “Not Resolved.” Further, the auditor assessed all completed OMI investigations for the period of September 16 through November 15, 1997 to determine if the disposition of “Not Resolved” was appropriately used. In the cases reviewed that produced evidence which should be classified as “Not Resolved” all such cases were so classified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69:

OMI to Issue Quarterly Reports

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the Decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page 59

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December 4, 1997 and as of December 8, 1997, the auditor has received no copy of the Notice of Appointment.

Even though the auditor began work on this project in September, 1997, the delay in appointment has delayed operational compliance in several areas, most notably within the OMI function, which due to the delay, received little if any early guidance from the audit in time to affect compliance.

Status:

Primary: Not in Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.61 Compliance with Task 71: Assurance Checks

Auditor to Perform Quarterly

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

• OMI final reports; • Substance and timeliness of 50 percent of all OMI investigations completed; • Statistical information on the number and types of complaints filed with OMI;
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Public Management Resources San Antonio, Texas

Page 60

• Statistical information on discipline imposed on sustained complaints; • Assessments of officer use of force, searches and seizures, and traffic stops.

Methodology

This quarterly report is offered as compliance with the requirements of Task 71. Although the draft of this report was due to Justice and to the City on December 1, the delay in appointment, and a delay in delivery of some of the items requested from the City, delayed the report. No future delays are anticipated for the remaining 19 quarterly reports required.

2.62 Compliance with Task 72:

Auditor to Recommend Reopening of

Incomplete OMI Investigations

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete. Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed 12 of the 24 OMI investigations completed between September 16 and November15, 1997.8 Based on that review, the auditor requested that two OMI cases be reopened and brought into conformance with established practices for internal investigations. These are listed below.
• AQR1-B9; and • AQR1-E.

Written directions for completion of these investigations will be forwarded under separate cover to the City and to Justice by the auditor.

2.63 Compliance with Task 73: City to Prepare Progress Reports

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL
8 See footnote four, above. 9 See footnote four, above.

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Page 61

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter. The first report was issued July 11, 1997.
2.64 Compliance with Task 74: City to Maintain Records Necessary

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 requires the City to maintain all records necessary to document their compliance with all terms of this decree. Further, it requires the City to maintain records required by or developed under this decree.

Methodology

The auditor asked for all pertinent copies of records required to document compliance with the decree, and, for the most part, received same in a timely manner. The only records not provided were those that did not exist due to failure to comply within time frames established by the decree, e.g., verbal deescalation training, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.65 Compliance with Task 75: Unrestricted Access for Auditor

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

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Page 62

Paragraph 75 requires the City to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto. Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

During the course of development of the first Auditor’s Quarterly Report, the auditor made dozens of specific requests of the City, OMI and the Pittsburgh Bureau of Police. All requests were responded to in a professional and timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76: Unrestricted Access for Justice

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 76 requires the City to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree. Further it requires access to staff and facilities upon appropriate notice.

Methodology

During the course of the implementation of this decree, the Department of Justice has made numerous requests for information, data and access. These requests have always been honored.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Public Management Resources San Antonio, Texas

Page 63

2.67 Compliance with Task 77: Copies of Consent Decree to All Officers

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

Paragraph 77 of the decree requires the City to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations. All such individuals are further required to sign a statement indicating that they have received, read and understand the statement. The City is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the City acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all sworn personnel will be required to view the video. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the City’s approach to compliance. A training plan is in place for training for all officers. Until the City has trained all sworn officers, however, it has not reached full compliance with this section of the decree.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.68 Compliance with Task 78: 90 Day Timeline for Conformance

Apr 97 May

June July

Aug

Sep

Oct

Nov

Dec

PRIMARY SECONDARY OPERATIONAL

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Page 64
Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree.
Methodology
Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. Of the 63 provisions to which the City should have complied by now10, the City is in primary compliance with 55. The City is in secondary compliance with 21 of the 62 provisions due as of December, 1997. It is also in operational compliance with 20 tasks, due as of December, 1997
3.0 Summary
The City, the Bureau of Police, and the Office of Municipal Investigations have taken a professional, positive and clear position on compliance with the decree. A great deal of progress has been made toward compliance—much more than the auditor would have anticipated. Despite more than 150 requests for information, data, files, and access to records, only one request processed more slowly than might be expected, an error rate of only seven tenths of one percent. The City’s response to the auditor’s team has been exceptional. After more than 100 similar projects, the auditor has yet to see a more committed, focused, open or candid City compliance team.
The City has recorded a primary compliance rate of 87 percent, and an overall compliance rate of 33 percent, which is commendable for a firstquarter performance. For the areas in which the City is in primary compliance, it reached that compliance level within the time allotted in approximately 62 percent of the cases. More commendable, however, is the attitude of the City’s compliance team, which time and again was seen to go beyond “mere compliance” to insist on quality compliance. Several good examples of this attitude among the City’s compliance team exist. The training in cultural diversity first delivered met the letter of the requirement for that task; however, the City—and the Bureau in particular—were not satisfied with mere compliance, and revised the curriculum to meet their own—higher—standards. The EWS envisioned in the consent decree will be far exceeded by the system designed by the City, and will result in even better management of the Bureau.
10 The City cannot be expected to comply with elements involving the EWS until April, 1998. Auditor’s Quarterly Report December, 1997
Public Management Resources San Antonio, Texas

Page 65

Further, the auditor and his team have not made a single suggestion, or

expressed a single concern, that has not been taken to heart by the City’s

compliance team. There is no doubt among the audit team that the Bureau,

OMI, and the City are

to implement this decree to the fullest extent

and to the best of their ability. When assessing compliance to date, one must

remember that this is a long-term project designed to change and improve

management and operations of the Bureau of Police. Such things to not occur in

90 days. An objective analysis of the City’s performance to date would indicate

that the Bureau of Police, with its current command staff, is an organization with

its heart in the right place. The goal is to get its hands to follow.

Auditor’s Quarterly Report December, 1997
Public Management Resources San Antonio, Texas

 
 Auditor’s Third Quarterly Report Quarter Ending May 15, 1998

Page 1

1 Introduction
This document represents the third of an anticipated 20 “Auditor’s Quarterly Reports” (AQR) assessing the levels of compliance of the City of Pittsburgh (City) with the requirements of the consent decree (decree) entered into between the City and the United States Department of Justice (Justice) on April 16, 1997. The document consists of three sections, identified below:
• Introduction; • Compliance Assessment; and • Summary.
The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of “compliance” are described in the Introduction. Section Two, “Compliance Assessment,” includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, “Summary” provides an overall assessment of the City’s performance for this quarter.
1.1 Overall Status assessment
1.1.2 Dates of Project Deliverables
Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the City; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.
1.2 Format for Compliance Assessment
The AQR is organized to be congruent with the structure of the consent decree. It reports on the City’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated “early warning system” (EWS). The following components of the decree are treated similarly. For each section of the decree, a graphic representation of the City’s compliance status is presented. The graphic is
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Public Management Resources San Antonio, Texas

Page 2

designed as follows. The “label” depicts the start date for the City’s compliance

actions (almost always April 16, 1997). The blue bar, below the label,

depicts the time allotted, by the decree, for the City to comply with the decree.

The light blue, yellow, orange or red bars, below the blue bars indicate the time

expired since the start date. The vertically patterned light blue bars

indicate expired time equal to or less than that allowed by the decree. The

checkered Yellow bars

indicate expired time that is more than that

allowed by the decree, but which, in the judgment of the auditor, does not

seriously threaten the City’s successful compliance with the decree. The

horizontally patterned Orange bars

indicate expired time that is more

than that allowed by the decree, and which, in the judgment of the auditor,

seriously threaten the City’s successful compliance with the decree. Red bars

indicate expired time which is more than that allowed by the decree, and

which, in the judgment of the auditor

seriously threaten the City’s

successful compliance with the decree.

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Compliance is classified as primary, secondary and “operational,” with the definitions specified in Section 1.4, below.
1.3 Compliance Assessment Processes
1.3.1 Structure of the Task Assessment Process
Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:
• Selection of a random sample, or
• Selecting all available records of that type.
Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau and OMI. In every instance of selection of random samples, PBP personnel were provided
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Page 3
with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.
The performance of the PBP and the City of Pittsburgh (City) on each task outlined in the consent decree was assessed by the auditor during the quarter ending May 15, 1998. In order to allow time for completion of the report, the auditor completed assessment activities on May 4, 1998.
All determinations of status for the City and the PBP are data-based, and were formed by review of the following types of documents:
• Official PBP documents prepared in the normal course of business; • Official Office of Municipal Investigations (OMI) documents prepared during
the normal course of business; and/or • Electronic documents prepared by the City or components of City government
during the normal course of business.
Where practicable, documentation forming the database for this audit were selected by the auditor and the auditor’s staff directly from PBP, OMI or City files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints were assessed by reviewing OMI files, OMI electronic files, PBP personnel files, and zone performance files.
1.4 Operational Definition of Compliance
For the purposes of this audit, “compliance” consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to “comply” as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the Bureau.
During the third quarter of the decree, the City, the Bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.
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Page 4
Substantial progress has been made during the third quarter, including progress in the critical areas of training and crafting systems of documentation of compliance efforts. In addition, significant progress has been made in the area of OMI operations and management.
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Page 5

2 Assessment of Compliance
2.1 Methodology

The auditor assessed the City’s compliance using the

included

as Appendix A of the first quarterly report. The

identifies each task

required by the consent decree and stipulates the methodology used to assess

compliance. Compliance was assessed as primary, secondary and “operational”

(see section 1.4, above).

The following sections of the second Auditor’s Quarterly Report contain a detailed assessment of the degree to which the City has complied with the 76 tasks to which it agreed on April 16, 1997.
2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System

Apr 97 Q1

Q2

Q3

Q4

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the Decree requires the City and the PBP to automate the database tracking system currently in use to track police officer behavior, and to add functionality to the system, transitioning it to an “early warning system” (EWS) which will assist the Bureau in identifying and managing officer behavior which may be problematic.
In order to accomplish this task, the City has formed a “protocol committee,” and charged this committee with responsibility for defining policies, procedures, manual and automated systems, and oversight practices for each of required elements of the EWS. The decree requires development of protocols in the following areas:
• Citizens’ complaints; • Officer-involved shootings; • Criminal investigations of officers; • Civil or administrative claims arising from PBP operations; • Civil claims against the PBP; • Law suits against the PBP; • Warrantless searches by officers;
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Page 6

• Use of force by officers; • Traffic stops by officers; and • Discretionary charges filed by officers.

The City has completed work on the various protocols designed to serve as policy guidance for the planned Early Warning System. The “Traffic Stop” protocol, implemented during the third quarter, remains a point of discussion between the Department of Justice and the City.

Further, the City has implemented a supplementary supervisory device, the Supervisor’s Activity Report (and supporting policy and training), which requires supervisors to provide an on-scene presence at selected traffic stops conducted by personnel under their command. The SAR process requires supervisors to exhibit a field presence, assessing the quality of work of patrol officers regarding performance, adherence to policy and procedure, use of equipment, safety practices, communication skills, or exhibition of prohibited bias. Further, the form requires the supervisor to note recommended actions to remedy any deficiencies noted. The auditor has reviewed each of these protocols, and has assessed their viability in sections 2.2-2.6, following.

The system was scheduled for implementation by April 16, 1998, with plans calling for an on-line system before the established deadline to allow the system to be fine-tuned and fully operational by April 16. As of the auditor’s site visit for the third quarter, (which took place during the week of May 4, 1998) the EWS was not on-line as anticipated. The system’s “training database” was operational, and 52 of 117 personnel who would use the system have been trained in the use of the Officer Management System. Data are being input into the system, and current plans for the system to come on-line at the end of the current training cycle, May 30, 1998. In the opinion of the auditor, the City continues to make a good-faith effort to bring the EWS on-line. The delays experienced to date are to be expected in a project with the complexity of the City’s EWS, and the City has exhibited innovation and commitment in finding ways to “work around” problems to bring the EWS on-line. Any criticism of the City’s efforts to meet the established deadline would related to over-optimistic project scheduling, not to substantive work on the project requirements.

Status:

Primary: In compliance Secondary: Not in compliance Operational: Not in compliance

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Page 7
2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-a of the decree requires the City to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.

Given the fact that the EWS is not currently on-line and producing reports, an audit for completeness is not possible. Based on project plans the system will provide all elements of information required by the decree—and will exceed those requirements. Training for system operation for the EWS had not been completed as of May 15, 1998. Access to the EWS has not been authorized for PBP or OMI personnel, given the lack of training, as of May 15, 1998.

Status:

Primary: In compliance Secondary: Not in compliance Operational: Not in compliance

2.2.2 Assessing Compliance with Task 12-b: Nature of EWS Retrieval Systems

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL

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Page 8

Paragraph 12-b of the decree requires the City to build into the EWS the ability
to retrieve information from the EWS by officer, squad, zone, unit, and the execution of “discretionary arrests.”1

Given the fact that the EWS is not currently on-line and producing reports, an audit for completeness is not possible. Based on project plans the system will provide all elements of information required by the decree—and will exceed those requirements. Until the system is on-line however, assessment of the degree to which the system conforms to its planned configuration is not possible.

Status:

Primary: In compliance Secondary: Not in compliance Operational: Not in compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the EWS

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-c of the decree requires the City to archive the records in the EWS for three years after the involved officers’ separation from service, and that all records be archived indefinitely. In addition, it requires the City to enter all relevant data for three years prior to April 16, 1997.

Given the fact that the EWS is not currently on-line and producing reports, an audit for completeness is not possible. Based on project plans the system will provide all elements of information required by the decree—and will exceed those requirements. Until the system is on-line however, assessment of the degree to which the system conforms to its planned configuration is not possible. Data for the three-years prior to April 16, 1997 have not been entered into the EWS system.

Status:

Primary: In compliance Secondary: Not in compliance

1 Defined by the decree as resisting arrest, disorderly, public intoxication, and interfering with the administration of justice.
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Page 9

Operational: Not in compliance

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the EWS

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 12-d requires the City to develop a protocol for use of the EWS that would:
• Establish trigger thresholds for review of officer records by senior supervisors; • Establish requirements for frequency of review of officer records by senior
supervisors; • Establish the types of corrective actions to be taken by senior supervisors; • Establish confidentiality and security provisions for the EWS; • Establish requirements for quality assurance checks of data input; and • Have the protocol submitted for review 30 days before implementation.
The City has developed protocols for use of the EWS, including those controlling:
• Weapons discharges by a Bureau member; • Citizens complaints; • Civil claims arising from Bureau operations; • Initiation of criminal investigations against Bureau members; • Lawsuits arising from Bureau operations; • Reporting subject resistance incidents; • Trend analysis; • Processing allegations of untruthfulness, racial bias, domestic violence, and
physical force; • Managing search and seizure activity; and • Reporting and review of traffic stop and arrest data.
These protocols have been reviewed by the auditor, and found to be reasonable and effective responses to the requirements of the consent decree, and in fact, in many cases, to move beyond the requirements of the decree.
Given the fact that the EWS is not currently on-line and producing reports, an audit for completeness is not possible. Based on project plans the system will
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provide all elements of information required by the decree—and will exceed those requirements. Until the system is on-line however, assessment of the degree to which the system conforms to its planned configuration is not possible.

Status:

Primary: In compliance since August, 1997 Secondary: Not in Compliance Operational: Not in Compliance

2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 13 requires the City to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the City to submit the policy to Justice for approval prior to implementation.
Methodology
The auditor has reviewed the PBP’s use of force policy, which was completed prior to the deadline, and has assessed the policy for conformance to national standards and applicable law. The newly drafted policy, effective August 15, 1997 is well written, and is designed to allow the Bureau to control effectively the use of force by the Bureau’s officers.
Promulgation of the policy and the necessary training to implement it have been completed. Reporting and supervisory review processes have been implemented, and the Bureau’s Subject Resistance Reports have been developed, disseminated, and implemented, and are currently being completed by PBP personnel. This quarter’s review of the SRRs indicate a substantial improvement over the forms reviewed during the first quarter of the project. This is true for several reasons:
• First, the forms continue to be appropriately completed, for the most part, by line personnel, e.g., establishing the order of force applied rather than simply “checking” appropriate boxes;
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• Second, supervisory review appears, for the most part, to continue to be responsive and focused, rather than simply process-oriented;

• Third, the forms continue to indicate an active supervisory presence on the street, where use of force generally occurs; and

• Fourth, the files reviewed continue to indicate an apparent under-use of force on the part of the officers of the PBP, e.g., multiple instances in which the articulable facts supported higher levels of police force than were reportedtly used.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 14 requires the City to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.
Methodology
The auditor has reviewed PBP policy 45-1, “Strip and Body Cavity Searches.” The policy conforms to all requirements of the decree, and was promulgated and effective November 10, 1997. The auditor sees no potential problems with the policy if it is implemented as written. However, the requisite training, reporting requirements and supervisory review have yet to be institutionalized. No search reports were available for review this quarter.
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Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 15 requires the City to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
The City has conformed to paragraph 15 through development of several related policies, each of which requires a written report any time a police officer performs any of the above-listed actions. In addition, these protocols are supported by specific policies (12-6, Use of Force, 45-2 Warrantless Searches and Seizures, and 45-1 Strip and Body Cavity Searches). Each of these policies stipulates specific reporting procedures which are in conformance with the requirements of the decree, c.f., 12-6 @ 6.6, 45-1 @ 5.1, and 45-2 @ 3.1. However, given the fact that some of these policies were only recently approved, the necessary training, reporting and supervisory review processes have yet to be institutionalized. The Department of Justice has approved these protocols
the decree (Use of Force on August 4, 1997 and Search and Seizure on November 10, 1997) based on the City’s submission on July 16, 1997. The Search and Seizure protocol approval was delayed by discussion between the City and Justice regarding specific provisions. Training regarding Use of Force reporting has been completed, and the reporting forms and guidelines have been implemented. Subject Resistance Reports are being processed by the department, and the day-to-day operation of controlling use of force by PBP officers appears to moving forward appropriately.
Even though training has been provided regarding reporting of use of force by PBP officers, training regarding search and seizure has not been completed as of May 15, 1998.
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Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.6 Assessing Compliance with Task 16: Reporting Traffic Stops

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 16 requires the City to establish reporting requirements each time a police officer makes a traffic stop. The City has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. These practices are currently under negotiation between the City and Justice, and awaiting finalization prior to promulgation. Training for traffic stop reporting apparently was completed this quarter; however, no traffic stop reports were available for review this quarter. Neither were any traffic stop training records available as of this writing.

Status:

Primary: In Compliance2 Secondary: Not in Compliance Operational: Not in Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the EWS

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Paragraph 17 requires the City to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The City has developed protocols requiring such entry. The automated EWS has begun accepting data
2 The City submitted the required protocol in a timely fashion. On-going negotiations between the City and Justice are currently underway.
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on police use of force, but data on searches and traffic stops are not currently being entered into the system.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.8 Assessing Compliance with Task 18: Audits of Use of Force

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL

Paragraph 18 requires the City to cause supervisors and senior supervisors to conduct “regular audits” of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.
Methodology
The audit team conducted a random selection of 34 “Subject Resistance Reports” completed by PBP officers, and reviewed by PBP supervisors and senior supervisors, pursuant to policy developed by the Chief of Police. The policy requires PBP officers to complete a SRR any time they use force to subdue a subject. Each of the reports selected was reviewed to ensure that the:
• Form was properly executed; • Form was reviewed by supervisors and senior supervisors within one week; • Supervisory review identifies problems with the use of force, where
appropriate; and • The review process is being implemented as required by the decree.
The results of the review indicate that the City is in primary compliance with the requirement of the decree: the policy regarding use of force reporting has been written and disseminated; the forms are being completed and reviewed; the forms are being forwarded to the training academy and to the administration division; and the forms are being filed as would be expected.

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In addition, it is apparent that the training provided regarding the SRR process has been internalized by the officers and supervisors of the Bureau, as the reports reviewed were completed properly, e.g., the “Level of Control” sections were completed with numbers—relating to the order of force employed—rather than “checks.”

More than 10 percent (four of 34) of the SRR’s, however, were not reviewed by the chain of command within seven days, as required by section 18-a of the decree. Requirements of this section are deemed by the auditor to be a critical function, and less than a 95 percent compliance rate is deemed insufficient to earn an assessment of “in compliance” with the seven day review requirement. Some of this delay, undoubtedly, is due to work schedules of supervisory personnel—a confluence of vacation or other days off, causing a delay in review.

In addition, the City is currently assessing Section 18-a of the consent decree, which requires an OMI investigation of use-of-force incidents which result in “serious injury,” which is defined (at 11-f of the decree) as “any injury that results in death or that the City has reason to know requires or results in professional medical care or treatment” (Decree, p. 5). Eight of the SRRs reviewed by the auditor indicated that the subject arrested needed medical attention at hospital. While OMI selected 13 SRRs for initiation of investigations this quarter, only one of the eight randomly selected SRRs which resulted in a “serious injury” resulted in an OMI investigation, as required by the decree. Currently, the City is working to resolve this implementation issue. The potential re-interpretation of “serious injury” has been referred to the City Solicitor’s Office and the Department of Justice. Until this area of the decree is better-defined, however, the current working definition established by the decree was used to assess compliance.

Status:

Primary: In Compliance Secondary: Not In Compliance Operational: Not in Compliance

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2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. To be effective, this requirement, in the judgment of the auditor, requires an automated system, similar to that planned by the automated Early Warning System. The anticipated first date that SRRs can be meaningfully reviewed for patterns is after implementation of the EWS. Protocols requiring review have been written, and all command staff have received training in the EWS process.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL

Paragraph 19-a requires the City to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, but training and implementation have not been completed.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL

Paragraph 19-b requires the City to analyze the search and seizure activity of its officers on a quarterly basis. The protocols and policies for search and seizure reporting have been completed, but training and implementation are not completed, thus no analysis can be conducted at this time.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-a requires the City to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The Bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial bias. None were found that were investigated between February 16 and May 15, 1998. Since the last allegation of racial bias was not reviewed in a timely fashion (see Auditor’s Second Quarterly Report, section 2.10, March, 1998), the City remains out of compliance for this requirement.

Status:

Primary:

In Compliance
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2.10.1

Page 18

Secondary: Not in Compliance Operational: Not in Compliance

Compliance with Task 20-b: Quarterly Analysis of Racial Bias Allegations

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL

Paragraph 20-b requires supervisors to use the EWS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. Until the City’s EWS is brought on-line, supervisors cannot reasonably be expected to comply with this stipulation.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.11 Compliance with Task 21-a: Imposing Appropriate Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 21-a requires the City to impose appropriate discipline after evaluating officer behavior.
Methodology
The auditor reviewed each of the three disciplinary actions taken by the PBP between February 16 and May 15, 1998. All of the disciplinary action taken during this period was for violation of internal PBP policies, rather than as a result of a citizen’s complaint. All of the discipline imposed appeared to be appropriate and in line with the infraction and the officers’ past records. No

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citizens’ complaints were sustained this quarter3, thus no assessment of the department’s response to sustained citizens’ complaints was possible.

Status:

Primary: In Compliance Secondary: Unable to Audit—No Sustained Citizens’ Complaints
this Quarter Operational: Unable to Audit—No Sustained Citizens’ Complaints
this Quarter

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 21-b requires the City to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on reviews of officer behavior.

Methodology

The auditor reviewed the Bureau’s disciplinary processes for the period from February 16 to May 15, 1998. All discipline assigned during this period—all for violations of internal police policies—appeared appropriate, based on the infractions. The department appears to make effective use of retraining, assigning it when indicated for violations of internal policies. No citizens’ complaints were sustained this quarter, thus no assessment of the department’s response to sustained citizens’ complaints was possible.

Status:

Primary: In Compliance Secondary: Unable to Audit—No sustained citizens’ complaints Operational: Unable to Audit—No sustained citizens’ complaints

3 Although one internal complaint for an alleged theft by employees from the tow pound was sustained this quarter.
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2.11.2 Compliance with Task 21-c: Consider Prior Record in Determining Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 21-c requires the City to consider an officer’s prior record in determining discipline.

Methodology

The auditor reviewed each of the disciplinary decisions made by the Bureau between February 16 and May 15, 1998. During this review, no evidence was noted indicating that the Bureau was or was not using information regarding previous complaint histories in making disciplinary decisions. However, since the Bureau was deemed in compliance with this requirement last quarter, and no evidence was seen indicating a change in performance, it retains its “in compliance” status.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 22 requires the PBP to establish disciplinary action files, or “performance files” at the zone level.
Methodology
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The auditor’s team visited three randomly selected unit locations (two zones and Investigations) and pulled a random sample of officers’ personnel and performance files. These files were assessed for compliance with the requirement that states that the files would include:

• Officer’s Name; • Discipline Imposed; • OMI File Number; and • A Description of Factors Considered.

In addition, the auditor’s team assessed the same officers’ files in the PBP centralized personnel records system, and the OMI database, to assess the level of accuracy of the zone files.

As with the requirement to assess use of force issues, the Bureau is in primary compliance with the stipulation of task 22: A series of chief’s orders has been promulgated (97-009 and 97-024), establishing a requirement for zone commanders to maintain “performance files” which conform to the requirements of the consent decree.

An assessment of the zones’ performance on this task indicates that the Bureau is also in secondary and operational compliance with this task. All of the zones’ performance and personnel files showed at least a 95 percent accuracy rate.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual Performance Evaluation

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 23 requires the City to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.
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Methodology

The Bureau’s progress to date has produced no records that can be audited. The Bureau has developed a performance evaluation policy which appears to meet the requirements of the decree, and which was approved and disseminated in April, 1998. Training regarding the performance evaluation system was completed by May 16 for all personnel except three officers who were on leave. The first wave of performance evaluations are scheduled for June, 1998. We anticipate that future Auditor’s Quarterly Reports will be able to assess the performance evaluation process.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 24 requires the City to use performance evaluations as a factor in promotional decisions.

Methodology

The Bureau’s progress to date has produced no records that can be audited. The Bureau has developed a performance evaluation policy which appears to meet the requirements of the decree, but the policy is scheduled for implementation in June, 1998. The Bureau has promoted no personnel during the last three quarters, thus no promotions have been made which are in contradistinction to the “performance-based” promotion requirement of the decree. Promotions using these data, obviously, cannot be made until a later date. We anticipate that future Auditor’s Quarterly Reports will be able to assess the performance evaluation-based promotions.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance
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2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 25 requires the City to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.

Methodology

The auditor’s team visited three randomly selected unit locations (two zones and Investigations) to assess the degree of compliance with paragraph 25. During the site visit, the auditor reviewed zone performance files, and conducted walk through inspections of zone facilities such as bulletin boards and office space.

Evidence exists to support the Bureau’s operational compliance with paragraph 25. The review of zone “performance files” indicates that the EAP is being used by departmental personnel and departmental managers. The counselors assigned to the EAP were interviewed during the first quarter by the auditor’s staff, and appear to be both experienced and knowledgeable concerning EAP practice and standards. It appears that EAP participation is non-retributive and meets established practice for such programs.

Departmental policy requires the posting of EAP flyers at each of the zone stations, and of the three zones visited, all had had the flyers readily visible in the stations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.16 Compliance with Task 26: Notification of Adverse Involvement

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 26 requires the City to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the City to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

During the auditor’s review of departmental personnel files, the files were assessed for evidence of implementation of PBP Policy 44-5, effective 8-25-97, which requires notification of the chain of command any time:

• A warrant is to be served on a member of the service; • A protective order is to be served on a member of the service; • An on-scene arrest is made of a member of the service; • An officer is arrested by another agency other than the PBP; or • An officer of the service is the subject of a civil suit.

The PBP has received notice of settlement of a civil case during this quarter (dated May 6, 1998), and has resulted in a refferal to command level for review (Memo from Charles Moffatt, Acting Chief of Police, dated May 6, 1998). In addition, the Bureau has noted five additional incidents of adverse involvement by PBP officers during this quarter. No data regarding review of these incidents were available at this writing; however, the requirement for notice appears to be functioning.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

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2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
Secondary Operational
Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the Bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.

Methodology

A review of records available during the time frame of the third quarterly audit indicated no criminal proceedings in progress against PBP officers; however, the Bureau has established an agreement with the District Attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. Further refinement of this process is anticipated. Current plans call for the City to monitor court cases for criminal charges which are dismissed because of illegal searches or other illegal activity on the part of the police. In such events, OMI would, based on the dismissal, initiate an investigation of the officer’s actions.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.18 Compliance with Task 28: Settled Litigation

Sanctions for Officers Involved in

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
Secondary Operational
Paragraph 28 requires the City to implement appropriate discipline “as the circumstances and OMI investigation warrant,” in all instances in which PBP
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officers are the subject of civil litigation.

Methodology

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation. One civil case was settled this quarter, and PBP personnel, upon receiving notice from the City Solicitor, initiated a review of the settlement through the officers’ chain of command. The review was not complete as of this writing.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 29 requires the City to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

Methodology

The auditor interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the Bureau, publishing legal bulletins, at an average rate of three per month during this quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

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2.20 Compliance with Task 30: Develop a Rotation Schedule

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP has developed a personnel rotation plan, and has implemented the first phase of the plan during the second quarter. The plan, supported by Chief’s Memo 97-550, has transferred 66 officers to other assignments through January 1, 1998. Additional officers continue to be transferred as part of this rotation policy, with the next round of transfers occurring in June, 1998 (and ordered by the Chief of Police in May, 1998).

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 31 requires the PBP to “make every effort” to participate in community meetings, including those oriented toward minority groups.
Methodology

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The auditor reviewed monthly attendance logs for police zones for the months of February 16 through May 15, 1998. The logs show multiple community meetings attended by PBP personnel. The meetings were attended by command level personnel, line personnel, and supervisory personnel. No agendas for these meetings were available.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the City to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. Effective this quarter, the City has developed and aired (on average eight times daily) on the City’s public access cable channel a professionally created video tape explaining OMI’s function in investigating complaints of alleged misconduct against City employees. The video covers all important aspects of the internal investigations process, and according to the City, reaches 105,000 households throughout the Pittsburgh area. Based on 2.7 residents per household (a national average), the video is reaching nearly all of Pittsburgh’s residents. The City is currently working with major television networks in the Pittsburgh area to carry Public Service Announcement regarding the OMI process. The City has also printed a brochure explaining the OMI function and has distributed the brochure to all of the City’s community organizations and placed these brochures in all City buildings.

Status:

Primary:

In compliance
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Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 33 requires the City to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.
Methodology
The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted a site-visit of the training academy, and have interviewed many of the personnel assigned to the training academy. The Bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Through February, 1998, the Bureau has continued to train its officers in the topics of cultural diversity, “effective communication” and ethics. The night turn is currently receiving the final phase of this training. To date, according to the Training Academy’s records, more than 90 percent (1,017) of the department’s 1,1214 currently-working5 officers have received training in cultural diversity. While this compliance rate is high, cultural diversity training is considered a critical task, and a compliance rate of at least 95 percent (1,065) is required. Of the 104 officers not trained in cultural

4 The Academy’s training records appear to have been cleared of retired, terminated, and deceased officers, bringing the total number of employees in the training database to 1,148.
5 A total of 27 PBP officers are carried on extended leave or other non-functional status, as of May 4, 1998 when these training records were generated, leaving 1,121 of the PBP’s 1,148 officers eligible for cultural diversity training.
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diversity by the close of this reporting quarter, nearly one third (34 officers) are supervised by the Special Deployment Division.6

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 34 requires the City to establish monitoring systems which will assess citizens complaints for indicators of needs in training or re-training. The Bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.
Methodology
In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports. Based on our review of the academy records system it was not clear that these reports were being received at the Academy in a timely and routine manner. Further, while the Academy is receiving Subject Resistance Reports, and personnel at the academy are subjecting these reports to careful review, our review of academy records indicates that all SRRs appear not to be reaching the Academy on a routine basis. Although the level of consistency of SRRs provided to the academy has improved since the first quarterly report, the auditor’s review noted 14 SRRs (of 161 processed this quarter) which had not been received by the Academy. While this error rate is small (8.7 percent), the topic is important enough to warrant more complete reporting and review. This task is considered a critical task, thus a compliance
6 After the close of the reporting quarter on May 16, the department trained another 30 officers in the topic of cultural diversity, bringing the total number trained to 947 of 1,121 officers.
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rate of 95 percent is required to obtain finding of “in compliance.” Based on the auditor’s review of SRR for this quarter’s reports received at the academy, not all zones have a relatively equal number of SRRs forwarded to the academy. For example all SRRs from zones four and six were forwarded to the academy. The Academy failed to receive or process two SRRs from zone one, three from zone two, four from zone five, and three from SDD.

It is clear, however, that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. Further refinement of this process may depend on the EWS, or some intensive systems redesign in the way reports (and which reports) are forwarded to and analyzed by the Academy and command staff.

Status:

Primary: In compliance Secondary: In Compliance Operational: Not in Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 35 requires the City to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de-escalation training “into all other training that implicates the use of force.”
Methodology
The City is currently under contract with a nationally recognized consultant to deliver a series of classes on “verbal judo,” a process of verbal de-escalation which is recognized nationally as effective in reducing police-involved violence. The auditor is familiar with this curriculum, and believes that, if it is implemented as required by the decree, it will meet and exceed the requirements of the decree. Delivery of a “train the trainers” session to 23 PBP personnel who will serve as “verbal judo” trainers occurred in March, 1998. Training of “all officers” has not yet begun.
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Further, operational compliance with this paragraph would require, in the opinion of the auditor, a complete in-service and recruit curriculum review to identify curriculum items that relate to use of force—or the avoidance thereof—and insertion of training elements in verbal de-escalation. This process is currently underway, in a joint program between the City Law Department and the Bureau of Police. Three staff attorneys from the City Solicitor’s office are working with Training Academy staff to develop a comprehensive review of the PBP’s training curriculum with respect to use of force training. The goal is development of a five-year training plan and a revision/rewrite of all aspects of the curriculum which entail police use of force—or avoidance thereof. No product has been developed as of this writing.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 36 requires the City to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation “at the beginning of the training curriculum to serve as a foundation for all other classes.” No recruits were trained in the third quarter. The last recruit class offered by the PBP ran from May 19, 1997 through October 24, 1997. The recruit curriculum offered “ethics” training in weeks three and four, human relations skills in weeks four and five, multi-cultural training in week six. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 37 requires the City to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the Bureau’s curriculum outlines for cultural diversity and ethics. In addition, the auditor has reviewed other curriculum components which he asked to be forwarded for review. The Academy’s maintenance of training records for non-mandatory training has been substantially updated since the last quarterly report. According to academy records, all but 29 of the departments 1,1217 personnel (97 percent) have received training in ethics.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

7 The Academy’s training records appear to have been cleared of retired officers, terminated officers, and deceased officers, bringing the total number of employees in the database to 1,121 currently working officers, and 27 officers on extended leave or other non-functional assignments.
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Paragraph 38 requires the City to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

The auditor assessed primary steps necessary to complete the tasks required by this paragraph. The Bureau has, however, completed work on a script for a training video; the script has passed legal review, and the initial taping has been completed. An initial session was presented by the OMI manager to recruits. The training of “all officers” in the OMI complaint process has begun, using a video tape, a training syllabus and an associated examination. At the time of this writing, however, no training records were available for review.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.29 Compliance with Task 39:

Encourage Qualified FTO

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 39 requires the city to recruit “highly qualified” Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the City to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.
Methodology
During the first quarterly report, the auditor selected slightly more than a 50 percent sample of the 25 newly appointed FTOs selected by the Bureau for its new recruits. Each of the 13 records selected was screened for poor disciplinary record, complaint history, and past performance. Given the Bureau’s delay in implementing paragraph 23 (performance evaluations) these evaluations could not be used in selecting the FTOs appointed in July, 1997. The review covered other factors required by paragraph 39.
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The auditor found all of the 13 officers’ files to be reflective of police careers that would recommend a role as an FTO. The field training officers’ records were clean of any civilian complaints that would require disqualification as an FTO. No new FTOs were appointed during the third quarter.

In addition, the auditor pulled a random sample of 15 PBP instructors’ files to assess completeness, accuracy, and conformance to established standards. Further, the auditor checked each instructor who taught at the Academy during the second quarter to ensure that they were certified to teach the subjects they taught during the quarter. Each file checked was complete, accurate, and organized as one would expect. All instructors checked were certified by the state—or other certifying agency—to teach the topics they were assigned.

Status:

Primary: Not in Compliance—due to lack of performance evaluations Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40:

Train all FTOs and Instructors

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 40 requires the City to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the City require FTOs and instructors to “demonstrate on a regular basis, their proficiency in their areas of instruction.”
Methodology
The auditor reviewed the training curriculum for FTOs and instructors provided through contract for the PBP. All instructors and FTOs are first “instructor development certified” by either the Federal Bureau of Investigation or Indiana University-Pennsylvania. FTOs then receive an additional five days of training at the PBP Academy for specific FTO-related topics. The specific provisions of paragraph 40 requires “demonstration on a regular basis…[of] proficiency in their areas of instruction.” The Police Bureau requires a formal assessment, using two
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forms specifically designed for evaluation, of the FTOs. The first (“Field Training and Evaluation Program—FTO Critique Form) is a two-page evaluation completed by field trainees. The form evaluates FTOs relative to the trainees’ assessment of the FTO’s ability, interest, knowledge, skill, ability to communicate, and fairness. The aggregate data collected through this process is shared with the FTO by the Academy commander. In addition, the PBP assesses FTOs by requiring their supervisors to complete an evaluation form (Field Training and Evaluation Program—FTS Critique Form). This form requires supervisors to rate FTOs on their skill as a trainer, their ability to communicate, their fairness, promptness, and attendance. These data as well are shared with the FTO.

In addition, the Academy has begun a process of testing for all consent-decree and state mandated training classes. The Academy evaluates instructor proficiency through these test scores, assuming that effective instructors produce students who can pass Bureau and State exams. The process of testing for all consent decree-related training is relatively new; however, during the third quarter, more than 500 exam scores were reviewed by the auditor. The vast majority of test scores of PBP personnel were in the 85-100 range (of a possible 100). The examinations that the auditor reviewed indicated a close correlation between the instructor’s syllabus and the exams.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 41 requires the City to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”
Methodology

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The auditor conducted a thorough second-quarter review of the Academy’s

training records during a site visit to the Academy. Selected training curricula

were assessed, and specific documents were selected for further analysis. This

included training records for state-mandated and consent decree-related

training. These records now appear to be up to date and complete. The records

are kept in useable format, and are managed by a sworn officer, adept in

manipulation of the database, and capable of generating

reports. The

records currently can generate reports by officer, training topic, hours, date and

test score.

Changes to the Academy’s record-keeping processes are relatively new; however, a second assessment shows the records to be free from error, and to exhibit a “living” quality, i.e., they are updated frequently, and subjected to error checking and correction processes.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42:

Document Mandatory Counselings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 42 requires the City to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of data for the third quarterly report, the department’s centralized file which is used to document mandatory counselings was reviewed. No records were found which had required a mandatory counseling for any PBP officer. The Bureau is in compliance with this requirement of the decree, however, since compliance was achieved last quarter, and no evidence was found indicating a failure to maintain that status.

Status:

Primary:

In Compliance
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Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Training

Annual Supervisory and Leadership

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 43 requires the City to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors The Bureau continues to move forward with training for its senior supervisors. All but three senior supervisors have received the updated ethics training being designed by the Bureau. Test scores for senior supervisors average in the high 80s.

It appears, from the records available at this time, that a majority of all senior supervisors have been trained at Pennsylvania State University’s “POLEX” command staff training program. An in-service component on “ethics” has been developed, and all but three senior supervisors have received this updated training.

According to Academy records, all senior supervisors have been trained in ethics, cultural diversity and OMI investigations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.34 Compliance with Task 44: OMI Quality Assurance

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 44 requires the City to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available for OMI investigations from 1986 through 1997. This database will be replaced by those planned for the EWS when it comes on line.

Further, this paragraph requires that OMI prepare complaint histories from the Early Warning System. Obviously, the City cannot come into compliance with this paragraph until the EWS comes on-line.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 45 requires the City to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

The auditor has reviewed Chief’s Orders 97-009 and 97-024 which established the zone “performance files.” These orders required the creation of disciplinary files at the zone level which “contain all OMI and non-OMI complaints that have been filed against the officer,” (CO 97-009). CO 97-024 requires that performance files “shall be available to personnel within the officers’ chain of command who are responsible for the officers’ training, counseling, or discipline.” The auditor’s team visited three randomly selected unit locations (two zones and Investigations), and pulled a random selection of personnel and “performance files” for inspection. In addition, the files were assessed for reasonable accessibility for sergeants, lieutenants and commanders who supervise sworn officers.

Since the last audit, the PBP has moved police officer’s files to an area of each zone station house which is accessible to sergeants and lieutenants working evening and night turns.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 46 requires the City maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the City to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be “identical” to that received by OMI police investigators. The paragraph further requires that the City make the OMI manual available for inspection at PBP facilities and at the OMI office.

Methodology

The auditor reviewed the OMI manual, as promulgated on December 1, 1997, for revisions suggested during the last quarterly report, and assessed OMI training documents. In addition, the auditor reviewed training records for OMI personnel. Records provided by OMI indicate that all civilian OMI investigators have received training during the third quarter, including training in cultural sensitivity, professionalism, mission-values, integrity, racial bias, and arrest.

The Office is in primary compliance with the requirements relating to promulgation of an OMI manual, and provision of training for OMI staff. In addition, the Office has developed an annual training plan for 1998-99, and has made suggested revisions in the OMI manual.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.37 Compliance with Task 47:

Receipt of Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 47 requires the City to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.

Methodology

The auditor reviewed three of four completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were “required” to complete any OMI form prior to receipt of the complaint and initiation of the investigation. The revised OMI manual was assessed to determine levels of compliance with the stipulations of paragraph 47 and the consent decree. The OMI manual requires that complaints will be received via telephone, facsimile, mail, or in person, as well as anonymously. OMI form 10397 includes a checkbox for each receipt method. Further, the auditor assessed completed OMI complaint investigations to determine if complaints were being received in accordance with the decree.

Evidence was available in the completed investigations, through a revised complaint intake and investigative checklist, to indicate the particular method by which complaints were being received. Of the three investigations reviewed (of four citizens’ complaints completed this quarter) two indicated receipt of the complaint by telephone.

Completed investigations were reviewed for any indication of requirements for complainants to complete forms prior to initiation of an investigation. None of the three files reviewed included any form completed by a complainant.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 48 requires that the City accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

As noted in the first auditor’s quarterly report, a review of completed OMI investigations did not indicate that anonymous or third party complaints were—or were not--being investigated. Although intake forms have been revised to indicate the source of the complaint, none of the complaints reviewed this quarter were anonymous complaints. The City’s new OMI video emphasizes the fact that complaints will be received from anonymous and third-party sources.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.39 Compliance with Task 49:

Closure of OMI Investigations

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

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Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. In addition, a sample of nine completed OMI investigations for last quarter, and three for this quarter, was assessed to determine if any of the complainants in these cases had withdrawn the complaint. One such complaint was found, during the second quarter, in which the complainant signed an official “notice” of withdrawal of his complaint. The OMI investigation, nonetheless, was completed.8 No evidence of withdrawn complaints was found during the third quarter.

Status:

Primary: In Compliance Secondary: In compliance Operational: In compliance

2.40 Compliance with Task 50: Relocate OMI

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 50 requires the City to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the City publicize the new OMI location.
Methodology
During the second quarter, the auditor verified that OMI had been relocated, and assessed the relocation as meeting the requirements of the decree. The only element precluding operational compliance with section 50 of the decree, at that time, was lack of “notice” to the public of the relocation. During the auditor’s site visit for the third quarter’s audit, the level of notice of the relocation was assessed. The City has taken proactive steps to publicize the location or function of OMI since the last quarter. A public-access video has been aired detailing the Office’s

8 See AQR2-B.

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new location, and thousands of brochures have been printed and distributed noting the Office’s new location.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 51 precludes the City from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the City to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The City is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings “in all City buildings.”
Methodology
The auditor reviewed attendance logs for OMI’s quarterly meetings (held between February 16 and May 15, 1998), reviewed the newly revised OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings, and requested copies of publicity documents posted by OMI relative to the quarterly meetings. Further, the auditor assessed completed OMI investigations to attempt to identify whether or not complainants were required to come to a PBP facility to register a complaint or make a statement.
The quarterly attendance logs indicate that OMI personnel have been conforming to the requirement to attend quarterly meetings. While they offer to take complaints at these meetings, according to staff, no such complaints have been registered or investigated. The OMI manual, at section 4-1(B) stipulates that “OMI also accepts complaints during quarterly, off-premises meetings in rotating zones.” This quarter, the City advertised zone meetings in City buildings, and provided copies of publicity notices used to publicize the OMI quarterly meetings in City buildings. Further, the brochures printed by the City and the video completed and
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aired to all cable recipients, provides further information regarding identifying the location of zone meetings (by providing an contact name and a telephone number). While no logs were provided to ensure that “all City buildings” had posted notices of zone meeting dates, time and locations, the use of the OMI public-access video, coupled with the printed OMI brochure, gives, in the opinion of the auditor, ample notice allowing those interested to attend zone meetings.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 52 requires the City to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.
Methodology
The auditor attempted to track the paper trail from OMI to zone-level senior supervisors, and to find any evidence at the zone level of notification from OMI of use of force, improper search or seizure or racial bias. OMI does issues monthly reports identifying officers complained against, the type of complaint and a brief narrative. These reports are forwarded to the Chief of Police, and the Deputy Chief for Operations. In addition, any complaint alleging racial bias is automatically forwarded to the Human Relations Commission (although this process is not treated in the new OMI manual).
During this quarter’s site visit, the auditor was able to track a “paper trail” of notice to senior supervisors of complaints filed by citizens, noting dissemination of quarterly and monthly OMI reports to senior supervisors of the Bureau of Police. The auditor also found evidence of a proactive use of data regarding citizen complaints at the level of the Deputy Chief for Operations (DCO), who, it was noted, often includes discussions of such data in his presentations at command staff meetings, and at the level of the Chief of Police, who, it was noted, last
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quarter requested that OMI reopen a case that, in his estimation, could have indicated the crime of official oppression, even though the complaint was filed more than 90 days after the alleged incident. Given this stance on the part of the chief of police and the DCO, and given the fact that notice of complaints is made to senior supervisors, the Bureau is deemed to be in operational compliance for task 52.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation

Responsibility for Complaint

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 53 requires the City to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to “settle” OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.

Methodology

The auditor reviewed the OMI manual for sections relating to paragraph 53, interviewed OMI personnel, and reviewed OMI case files for any indication of incompleted or “withdrawn or settled” OMI cases. Section 2-1 of OMI’s new manual charges OMI with jurisdiction to “investigate all personnel of any department of the City of Pittsburgh...” and specifically notes the departments over which OMI has investigative authority, including the PBP.

In addition, the auditor reviewed Disciplinary Action Reports filed by the Bureau during the time frame of this audit for evidence of supervisory or command staff over-ruling or changing OMI findings, and for any indication of officer-initiated settlements, or other proscribed behavior. No indications were found.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

2.44 Compliance with Task 54: Number on Request

Officers to Provide Name and Badge

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, “Conduct Toward the Public” requires that “when requested by any person, a member shall give his name and badge number in a courteous manner.”

Methodology

The auditor reviewed a sample of completed OMI cases for the third quarter (February 16 to May 15, 1998) to determine if allegations of failure to provide name and badge number were made to OMI. No such evidence was found. Given the department’s performance to date, there is no indication that paragraph 54 is not being complied with. The auditor will continue to assess complaints for compliance with paragraph 54.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.45 Compliance with Task 55: Alternative Sites

Interview of Complainants at

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires
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reasonable notice before all interviews. Section 4-2(B) of the OMI stipulates that OMI will arrange to interview complainants “off-site,” if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted “off site.” Among the three completed investigations assessed during this quarter, evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ home) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: Interviews

OMI to Tape and Transcribe

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept “special reports” in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.
Methodology
The OMI manual stipulates a “Tape Recorded Statement Form” and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed three (of four) completed investigations of citizens’ complaints provided by OMI based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. Not all cases reviewed included transcriptions of OMI interviews of officers, witnesses or complainants. Many of the cases selected for review included written reports from officers, rather than taped and transcribed interviews. Of the three cases assessed this quarter, each contained non-transcribed interviews of officers.
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Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.47 Compliance with Task 57:

OMI Staff Access to EWS

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 57 stipulates that OMI staff should be provided access to the City’s Early Warning System. Current plans call for such access; however, this access cannot be audited until the EWS comes on-line.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.48 Compliance with Task 58:

OMI to Interview Supervisors at

Scenes of Incidents Leading to Allegations of Misconduct

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

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Methodology

The auditor reviewed the OMI manual for revised language stipulating that supervisors and senior supervisors be interviewed. Section 6-1(M) of the OMI manual identifies a requirement that OMI locate any supervisors or senior supervisors, and interview them regarding incidents in which they “participated” or were involved.

As noted in the first auditor’s quarterly report, the OMI manual contains language concerning the need to interview senior supervisors and supervisors; its revised version requires OMI investigators to determine the supervisors’ “handling of … situation[s] during and after the alleged incident[s]” and their “observations of the complainant[s] and the accused officers.”

Further, OMI case reports which were reviewed were assessed for any evidence that the investigator had attempted to locate any potential supervisors at the scene. None of the three cases reviewed had any indication that supervisory personnel were present.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Unable to audit

2.49 Compliance with Task 59:

OMI to Canvass for Witnesses

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 59 requires OMI to canvas the scene of an incident for witnesses “as soon as possible” after receiving a complaint where canvassing could “reasonably yield” additional information.
Methodology
The auditor reviewed the OMI manual, Section 6-1G, which requires neighborhood canvasses, “as soon as possible” after receiving a complaint. Case tracking forms also include a “check off” box for witnesses located through the canvassing process.
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The auditor reviewed a sample of completed OMI cases for the first quarter (February 16 through May 15, 1998) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Of the three cases reviewed, one appeared to be in need of a careful canvass for witnesses. This case included a documented effort to locate independent witnesses.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60:

OMI to Review Police Shootings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

The auditor assessed, through departmental records, the number of policeinvolved shootings which occurred during the third quarter and found none. However, evidence existed last quarter that such reviews were being conducted.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: Allegations of Misconduct

OMI to Aggressively Investigate

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 61 requires that OMI investigators “aggressively” investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed a 75 percent sample of OMI investigations completed from February 16 through May 15, 1998, to assess the level of compliance with paragraph 61.

The investigations were evaluated regarding complaint receipt and processing,

case management, investigation and documentation, findings and determinations

and reporting. Further, training for OMI personnel was also reviewed, as, in the

auditor’s opinion, training is

to acceptable performance. During the third

quarter, personnel assigned to OMI continued to experience a substantial

increase in training. In addition to a second-quarter three-day training program

facilitated by the auditor, in which the Office “re-engineered” its documentation,

management, and reporting processes, the staff has also received intensive

training from other sources.

Of the three investigations assessed for the third quarter one of OMI’s investigations possessed characteristics that were problematic. This investigation included numerous apparently credible and valid sources that would indicate that a preponderance-of-the-evidence standard could be met, yet no such determination was made. Further, the case included apparent evidence of collateral misconduct which was not investigated or acted upon by OMI. The auditor met with OMI personnel and reviewed the investigative process utilized in this investigation, using it as a training tool. Based on the level of understanding apparently generated, future investigations should more closely conform with the requirements of this paragraph of the decree.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.52 Compliance with Task 62: Four Corners”

OMI to Act on Behavior “Outside the

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled “outside the four corners” of the original complaint.

Methodology

The auditor reviewed the OMI manual for reference to the requirement to note conduct “outside the four corners” of the complaint which violates departmental policy or procedures. The OMI manual refers to such complaints as “collateral misconduct,” and stipulates in Section 6-8 that “if, during the course of an OMI investigation, an OMI investigator has reason to believe that … collateral misconduct [occurred] the investigator must investigate and make findings with regard to such collateral misconduct.

The auditor also reviewed a 75 percent sample of citizens’ complaint investigations completed by OMI between February 16 and May 5, 1998. Each complaint was evaluated to determine if any behavior could be noted that would be “outside the four corners” of the original complaint. One was found. This complaint, which contained an indication of collateral misconduct allegation of “untruthfulness” was not pursued in the original OMI investigation.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.53 Compliance with Task 63: OMI to Issue Final Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.

The auditor reviewed a sample of three investigations completed by OMI between February 16 and May 15, 1998. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. While each file contained a final report, one was incomplete, not in conformance with established practice for internal investigations, or was not in compliance with the requirements of the consent decree. Detailed assessments will be provided to the Office, identifying needed changes in investigative reporting and process. The auditor anticipates marked changes in the format, structure and content of the Office’s final reports based on the three-day workshop conducted by the auditor for the Office’s personnel.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 64 requires the City to provide OMI with “sufficient staff, funds and resources to perform the functions required” by the decree, and establishes requirements for selection as an OMI investigator.

Methodology

During the first quarterly audit, the auditor conducted a routine desk audit of OMI practices, caseload and work product. OMI is currently staffed by five fulltime investigators, one of whom is assigned to non-police investigations. The four remaining investigators received approximately 89 cases during the first quarter, and during the third quarter that number appears to be increasing slightly.

Some progress has been made by tightening up the management control of investigations: providing needed training for investigators and managers, and by providing a full-time intake coordinator’s position—which removes investigators who are in the office writing case reports from telephone duty. The intake coordinator also provides other services which free up investigators for case work.

The Office Municipal Investigations has received approval to increase OMI staffing assigned to police investigations by 75 percent, with the addition of three staff (an intake coordinator, who has been hired, and two additional investigative positions, which have not been filled). The Office is assessing other staffing solutions, and has reviewed some of these plans with the auditor. Staffing is, of necessity, a decision made carefully; however, the auditor remains of the opinion that, currently, inadequate staffing levels are present in OMI to handle existing and anticipated workload, although plans have been made and partially implemented to improve this situation.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology

The auditor reviewed the OMI

, which states at

Section 7-4 that “all findings by OMI shall be based upon the ‘preponderance of

the evidence standard.’” The revised (5/98) document defines this standard for

the reader, using applicable civil law definitions. Despite this guidance, which, in

all fairness was made available to investigators only May of 1998 (despite an erroneous date on Section 7-4 of 11/97)9, OMI investigators appear to have yet

to fully grasped the import of the concept, completing at least one investigation

this quarter in which this standard was not used in making the Office’s

dispositional determination.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.56 Compliance with Task 66: Statements

No Preference for Officers’

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 66 stipulates that “there shall be no automatic preference of an officer’s statement over a complainant’s statement,” and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.
Methodology

9 Section 7.4 of the OMI Manual was revised in May, 1998 to provide a more complete definition of “preponderance of the evidence.”
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The auditor reviewed the OMI

for references to

preferences to officer’s statements, and found a reference in the revised (5/98)

Section 6-9. There were also references to credibility determinations (Section 6-

9) which conform to the requirements of paragraph 66.

In addition, the auditor reviewed three of the four OMI investigations of citizens’ complaints completed during the third quarter for conformance to this requirement. In each of these three, credibility assessments were documented in the final report. However, at least one of these “credibility assessments” appeared to give preference to the officers statements. This complaint investigation was reviewed with the City Solicitor, the OMI Manager and the OMI Investigator regarding dispositional determations.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.57 Compliance with Task 67: Authority

OMI Retains Final Investigative

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.
Methodology
The auditor reviewed all OMI investigations completed between February 16 and May 15, 1998, searching for a case which resulted in a sustained finding, with evidence of a “reversed” OMI finding by a supervisor or senior supervisor. No such evidence was found. It is clear from the record provided and assessed during this quarter that the Office is in full compliance with paragraph.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Resolved”

Change “Not Sustained” to “Not

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 68 requires the City to change the OMI disposition category of “Not Sustained”

Methodology

The auditor reviewed the OMI manual, which stipulates at 7-1B, that cases which generate “evidence that is insufficient to prove or disprove that accountability standards have been violated” will be classified as “Not Resolved.” Further, the auditor assessed all completed OMI investigations for the period February 16 and May 15, 1998, to determine if the disposition of “Not Resolved” was appropriately used. In the one case reviewed that produced evidence which should be classified as “Not Resolved” the case was so classified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69:

OMI to Issue Quarterly Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the Decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December 4, 1997. The City is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the City is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Assurance Checks

Auditor to Perform Quarterly

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:
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• OMI final reports; • Substance and timeliness of 50 percent of all OMI investigations completed; • Statistical information on the number and types of complaints filed with OMI; • Statistical information on discipline imposed on sustained complaints; • Assessments of officer use of force, searches and seizures, and traffic stops.

Methodology

This third quarterly report is offered as compliance with the requirements of Task 71.

2.62 Compliance with Task 72:

Auditor to Recommend Reopening of

Incomplete OMI Investigations

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete. Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed three of the four OMI investigations of citizens’ complaints completed between February 16 and May 15, 1998.10 Based on that
review, the auditor has recommend that OMI reopen one investigation completed
during the third quarter. This includes:

• AQR3-A, which involves allegations of inappropriate conduct toward the public. Despite indications of untruthfulness on the part of the officer, and despite a large volume of evidence which indicates an appropriate finding of “sustained,” the case was disposed of as “not resolved.” While nothing in the auditor’s comments should be construed as requiring a finding of sustained, the auditor requested OMI to reopen the case and reconsider the “preponderance of the evidence” standard in light of available evidence.

2.63 Compliance with Task 73: City to Prepare Progress Reports

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter. The first report was issued July 11, 1997; the second was issued January 16, 1998.

10 See footnote four, above.

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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.64 Compliance with Task 74: City to Maintain Records Necessary

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 requires the City to maintain all records necessary to document their compliance with all terms of this decree. Further, it requires the City to maintain records required by or developed under this decree.

Methodology

The auditor asked for all pertinent copies of records required to document compliance with the decree, and received same in a timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.65 Compliance with Task 75: Unrestricted Access for Auditor

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 75 requires the City to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto. Further, access to all staff and facilities as needed to effectively monitor the decree is also required.
Methodology

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During the course of development of the first Auditor’s Quarterly Report, the auditor made dozens of specific requests of the City, OMI and the Pittsburgh Bureau of Police. All requests were responded to in a professional and timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76: Unrestricted Access for Justice

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 76 requires the City to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree. Further it requires access to staff and facilities upon appropriate notice.

Methodology

During the course of the implementation of this decree, the Department of Justice has made numerous requests for information, data and access. These requests have always been honored.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.67 Compliance with Task 77: Copies of Consent Decree to All Officers

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 77 of the decree requires the City to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations. All such individuals are further required to sign a statement indicating that they have received, read and understand the statement. The City is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the City acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video11. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the City’s approach to compliance. Currently, the department has trained all current active-duty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.68 Compliance with Task 78: 90 Day Timeline for Conformance

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree.
Methodology

11 Officers on extended leave and who are otherwise excused for duty for extended periods of time have not viewed the video, nor have they signed the statement of understanding.
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Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks come “on-line,” those involving automation of the EWS. Of the 76 provisions to which the City should have complied by now, the City is in primary compliance with 71. The City is in secondary compliance with 40 of the 76 provisions due as of June, 1998. It is also in operational compliance with 38 tasks, due as of June, 1998.
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3.0 Summary
The City, the Bureau and the Office of Municipal Investigations have improved compliance with the elements of the consent decree during the last quarter. They have continued to take a professional approach towards the decree, insisting on complying with both the letter and the spirit of the decree, and moving with deliberate speed to ensure compliance. All of the auditor’s request for information have been responded to with rapid compliance, and the routine response of the City to the auditor’s suggestions has been to implement them enthusiastically. The City has recorded a primary compliance rate of more than 93 percent, and an overall compliance rate of 50 percent. While a substantial amount of work remains to be done—particularly in the training area—the implementation of the new EWS and the automated support provided by this system are expected to provide a substantial improvement to the City’s compliance rate.
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Public Management Resources San Antonio, Texas

 
 Auditor’s Fourth Quarterly Report Quarter Ending August 16, 1998

Page 1

1 Introduction
This document represents the fourth of an anticipated 20 “Auditor’s Quarterly Reports” (AQR) assessing the levels of compliance of the City of Pittsburgh (City) with the requirements of the consent decree (decree) entered into between the City and the United States Department of Justice (Justice) on April 16, 1997. The document consists of three sections, identified below:
• Introduction; • Compliance Assessment; and • Summary.
The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of “compliance” are described in the Introduction. Section Two, “Compliance Assessment,” includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, “Summary” provides an overall assessment of the City’s performance for this quarter.
1.1 Overall Status assessment
1.1.2 Dates of Project Deliverables
Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the City; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.
1.2 Format for Compliance Assessment
The AQR is organized to be congruent with the structure of the consent decree. It reports on the City’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated “early warning system” (EWS). The following components of the decree are treated similarly. For each section of the decree, a graphic representation of the City’s compliance status is presented. The graphic is
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designed as follows. The “label” depicts the start date for the City’s compliance

actions (almost always April 16, 1997). The blue bar, below the label,

depicts the time allotted, by the decree, for the City to comply with the decree.

The light blue, yellow, orange or red bars, below the blue bars indicate the time

expired since the start date. The vertically patterned light blue bars

indicate expired time equal to or less than that allowed by the decree. The

checkered Yellow bars

indicate expired time that is more than that

allowed by the decree, but which, in the judgment of the auditor, does not

seriously threaten the City’s successful compliance with the decree. The

horizontally patterned Orange bars

indicate expired time that is more

than that allowed by the decree, and which, in the judgment of the auditor,

seriously threaten the City’s successful compliance with the decree. Red bars

indicate expired time which is more than that allowed by the decree, and

which, in the judgment of the auditor

seriously threaten the City’s

successful compliance with the decree.

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Compliance is classified as primary, secondary and “operational,” with the definitions specified in Section 1.4, below.
1.3 Compliance Assessment Processes
1.3.1 Structure of the Task Assessment Process
Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:
• Selection of a random sample, or
• Selecting all available records of that type.
Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau and OMI. In every instance of selection of random samples, PBP personnel were provided
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with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.
The performance of the PBP and the City of Pittsburgh (City) on each task outlined in the consent decree was assessed by the auditor during the quarter ending August 15, 1998. In order to allow time for completion of the report, the auditor completed assessment activities on August 7, 1998.
All determinations of status for the City and the PBP are data-based, and were formed by review of the following types of documents:
• Official PBP documents prepared in the normal course of business; • Official Office of Municipal Investigations (OMI) documents prepared during
the normal course of business; and/or • Electronic documents prepared by the City or components of City government
during the normal course of business.
Where practicable, documentation forming the database for this audit were selected by the auditor and the auditor’s staff directly from PBP, OMI or City files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints were assessed by reviewing OMI files, OMI electronic files, PBP personnel files, and zone performance files.
1.4 Operational Definition of Compliance
For the purposes of this audit, “compliance” consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to “comply” as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the Bureau.
During the fourth quarter of the decree, the City, the Bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.
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Page 4
Substantial progress has been made during the fourth quarter, including progress in the critical areas of training and crafting systems of documentation of compliance efforts. In addition, significant progress has been made in the area of OMI operations and management.
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2 Assessment of Compliance
2.1 Methodology

The auditor assessed the City’s compliance using the

included

as Appendix A of the first quarterly report. The

identifies each task

required by the consent decree and stipulates the methodology used to assess

compliance. Compliance was assessed as primary, secondary and “operational”

(see section 1.4, above).

The following sections of the fourth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the City has complied with the 76 tasks to which it agreed on April 16, 1997.
2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the Decree requires the City and the PBP to automate the database tracking system currently in use to track police officer behavior, and to add functionality to the system, transitioning it to an “early warning system” (EWS) which will assist the Bureau in identifying and managing officer behavior which may be problematic.
In order to accomplish this task, the City has formed a “protocol committee,” and charged this committee with responsibility for defining policies, procedures, manual and automated systems, and oversight practices for each of required elements of the EWS. The decree requires development of protocols in the following areas:
• Citizens’ complaints; • Officer-involved shootings; • Criminal investigations of officers; • Civil or administrative claims arising from PBP operations; • Civil claims against the PBP; • Law suits against the PBP; • Warrantless searches by officers;
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• Use of force by officers; • Traffic stops by officers; and • Discretionary charges filed by officers.
The City has completed work on the various protocols designed to serve as policy guidance for the planned Early Warning System. The “Traffic Stop” protocol, developed during the third quarter, remains a point of discussion between the Department of Justice and the City.
Further, the City has implemented a supplementary supervisory device, the Supervisor’s Activity Report (and supporting policy and training), which requires supervisors to provide an on-scene presence at selected traffic stops conducted by personnel under their command. The SAR process requires supervisors to exhibit a field presence, assessing the quality of work of patrol officers regarding performance, adherence to policy and procedure, use of equipment, safety practices, communication skills, or exhibition of prohibited bias. Further, the form requires the supervisor to note recommended actions to remedy any deficiencies noted. The auditor has reviewed each of these protocols, and has assessed their viability in sections 2.2-2.6, following.
The EWS system, which is under development by the City Information Systems Department (CIS), was scheduled for implementation by April 16, 1998, with plans calling for an on-line system before the established deadline to allow the system to be fine-tuned and fully operational by April 16. As of the auditor’s site visit for the fourth quarter, (which took place during the week of August 3, 1998) CIS continued to experience difficulties in development and deployment of the EWS. The system’s “training database” was operational, and 115 of 117 personnel who would use the system have been trained in the use of the Officer Management System. This represents no improvement over the City’s performance for the third quarter. To date, the Pittsburgh Bureau of Police has done all that it can do—absent an operational EWS—to comply with the requirements of the consent decree relative to automated review of the Bureau’s enforcement actions. The Bureau is now awaiting completion of the EWS in order to move the City and itself into additional complaince.
Understanding the delay in deployment of the EWS requires an understanding of the complexity of the proposed system, which, in reality taps virtually every area of operation of the PBP, and requires coordination of dozens of City work units, as well as coordination with consulting groups not under the direct control of the City. The “EWS,” in actuality is four different systems which must work together to provide the PBP with management information. The system requires all four subsystems to work properly before the EWS can be used as anticipated.
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The four subsystems are described briefly below, and the status of each subsystem is reviewed.

Hardware and Systems Integration (HIS): The EWS is a hardware-dependent

information system. Each of the seven police zones (Zones One through Six and

SDD) will require a dedicated workstation, connected by wide-area-network

(WAN) to the central data files which reflect the day-to-day activities of the PBP:

field contact reports, arrest reports, subject resistance reports, etc. These

workstations, in addition to being used to obtain data

the EWS will also be

used to enter data into the system. Each workstation will be equipped with a

scanning system through which critical data will be entered into the EWS. While

each zone has received a fully configured PC-based workstation, the scanning

systems have not yet been acquired, configured or deployed. No data are

currently available from or to the Zone workstations. Acquisition, configuration

and deployment of Zone scanning stations are required before the HSI is

considered operational.

Records Imaging System (RIS): Just as the EWS is hardware dependent, so is it dependent on skilled staff for maintenance of the data flow anticipated by the system’s designers. While the EWS High Volume Data Entry system has been designed and implemented at a centralized location in the Municipal Court Building, the decentralized system has yet to be developed. Further, additional staff will need to be hired, trained and deployed to the Zones in order to begin data entry into the system from decentralized locations. In addition, City Information Systems has yet to finalize the design, protocol development and training for the imaging procedures necessary to allow data input from the Zones. Systems development and deployment; selection, training and debriefing of Zone clerks; and entry of “backlog” information into the EWS remain to be completed before the RIS is considered operational.

Officer Management System (OMS): City Information Systems has provided training for supervisors and command personnel in operation of the OMS; however, the “live” data system is not available to these personnel for several reasons. First, the entry of pre-consent decree information (for previous years) must be completed. Second, the OMS system programming must be finalized and brought “on-line.” Third, refresher training for supervisors regarding the OMS must be completed, as some of these individuals were trained several months earlier, and have had not real access to the system since.

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Once each of these subsystems are complete, the EWS can be brought “on-line” as soon as all supervisory personnel are trained in its use. City Information Systems estimates currently indicate a late November start-up of the EWS.
Obviously, the delay in bringing the EWS on line has been frustrating to all concerned, probably none more so than management personnel from the PBP. Once the system is “on-line,” the auditor anticipates a two- to three-month period of acclimation before management and supervisory decisions routinely can be made based on information available from the system.

Currently, the delay in implementation of the EWS is beginning to have an adverse impact on the City’s ability to maintain compliance with specific areas of the decree. For example, the decree requires the City to assess citizen complaint activity of its officers, and to note and act accordingly when officers have three complaints of a similar nature (or five total complaints) in a two year period (see Section 21.a.ii of the decree), whether the complaints are sustained or not. Based on the auditor’s review of zone performance files for the fourth quarter, officers are beginning to accrue sufficient citizens’ complaints to trigger the required thresholds for action on the part of the Bureau. Unfortunately, due to the failure to implement the EWS, these actions are not being taken. While supervision and management are the lynch-pins of the Bureau’s plans to conform to the consent decree, supervisors and managers will find it difficult to perform their duties without adequate MIS support.

Status:

Primary: In compliance Secondary: Not in compliance Operational: Not in compliance

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Paragraph 12-a of the decree requires the City to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.

Given the fact that the EWS is not currently on-line and producing reports, an audit for completeness is not possible. Based on project plans the system will provide all elements of information required by the decree—and will exceed those requirements. Training for system operation for the EWS had not been completed as of August 15, 1998. Access to the EWS has not been authorized for PBP or OMI personnel, given the lack of training, as of August 15, 1998.

Status:

Primary: In compliance Secondary: Not in compliance Operational: Not in compliance

2.2.2 Assessing Compliance with Task 12-b: Nature of EWS Retrieval Systems

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 12-b of the decree requires the City to build into the EWS the ability to retrieve information from the EWS by officer, squad, zone, unit, and the execution of “discretionary arrests.”1

Given the fact that the EWS is not currently on-line and producing reports, an audit for completeness is not possible. Based on project plans the system will provide all elements of information required by the decree—and will exceed those requirements. Until the system is on-line however, assessment of the degree to which the system conforms to its planned configuration is not possible.

Status:

Primary: In compliance Secondary: Not in compliance Operational: Not in compliance

1 Defined by the decree as resisting arrest, disorderly, public intoxication, and interfering with the administration of justice.
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2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-c of the decree requires the City to archive the records in the EWS for three years after the involved officers’ separation from service, and that all records be archived indefinitely. In addition, it requires the City to enter all relevant data for three years prior to April 16, 1997.

Given the fact that the EWS is not currently on-line and producing reports, an

audit for completeness is not possible. Based on project plans the system will

provide all elements of information required by the decree—and will exceed

those requirements. Until the system is on-line however, assessment of the

degree to which the system conforms to its planned configuration is not possible.

Data for the three years prior to April 16, 1997 have not been entered into the

EWS system. Data sources have been identified, however, and the

of

organizing data entry has begun.

Status:

Primary: In compliance Secondary: Not in compliance Operational: Not in compliance

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-d requires the City to develop a protocol for use of the EWS that would:
• Establish trigger thresholds for review of officer records by senior supervisors;
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• Establish requirements for frequency of review of officer records by senior supervisors;
• Establish the types of corrective actions to be taken by senior supervisors; • Establish confidentiality and security provisions for the EWS; • Establish requirements for quality assurance checks of data input; and • Have the protocol submitted for review 30 days before implementation.

The City has developed protocols for use of the EWS, including those controlling:

• Weapons discharges by a Bureau member; • Citizens complaints; • Civil claims arising from Bureau operations; • Initiation of criminal investigations against Bureau members; • Lawsuits arising from Bureau operations; • Reporting subject resistance incidents; • Trend analysis; • Processing allegations of untruthfulness, racial bias, domestic violence, and
physical force;
• Managing search and seizure activity; and • Reporting and review of traffic stop and arrest data.

These protocols have been reviewed by the auditor, and found to be reasonable and effective responses to the requirements of the consent decree, and in fact, in many cases, to move beyond the requirements of the decree.

Given the fact that the EWS is not currently on-line and producing reports, an audit for completeness is not possible. Based on project plans the system will provide all elements of information required by the decree—and will exceed those requirements. Until the system is on-line however, assessment of the degree to which the system conforms to its planned configuration is not possible.

Status:

Primary: In compliance since August, 1997 Secondary: Not in Compliance Operational: Not in Compliance

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2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 13 requires the City to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the City to submit the policy to Justice for approval prior to implementation.
Methodology
The auditor has reviewed the PBP’s use of force policy, which was completed prior to the deadline, and has assessed the policy for conformance to national standards and applicable law. The newly drafted policy, effective August 15, 1997 is well written, and is designed to allow the Bureau to control effectively the use of force by the Bureau’s officers.
Promulgation of the policy and the necessary training to implement it have been completed. Reporting and supervisory review processes have been implemented, and the Bureau’s Subject Resistance Reports have been developed, disseminated, and implemented, and are currently being completed by PBP personnel. This quarter’s review of the SRRs indicates a continued high level of performance by the Bureau in reporting and analyzing police use of force. This is true for several reasons:
• First, the forms continue to be appropriately completed, for the most part, by line personnel, e.g., establishing the order of force applied rather than simply “checking” appropriate boxes;
• Second, supervisory review appears, for the most part, to continue to be responsive and focused, rather than simply process-oriented;
• Third, the forms continue to indicate an active supervisory presence on the street, where use of force generally occurs;

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• Fourth, the files reviewed continue to indicate an apparent under-use of force on the part of the officers of the PBP, e.g., multiple instances in which the articulable facts supported higher levels of police force than were reportedly used; and

• Fifth, SRRs were located in all OMI-investigated citizen complaint files which alleged an inappropriate use of force.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 14 requires the City to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.
Methodology
The auditor has reviewed PBP policy 45-1, “Strip and Body Cavity Searches.” The policy conforms to all requirements of the decree, and was promulgated and effective November 10, 1997. The auditor sees no potential problems with the policy if it is implemented as written. Training has begun in the areas of search and seizure, and as of August 16, 1998 the department has trained 676 of 1,079 officers in its “current” training database (this database excludes 24 officers on extended leave, etc.). Search and seizure training has been provided to 63.7
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Page 14

percent of the active officers who should receive the training, as of August 16, 1998. Obviously, this falls short of the 95 percent necessary for critical tasks.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 15 requires the City to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
The City has conformed to paragraph 15 through development of several related policies, each of which requires a written report any time a police officer performs any of the above-listed actions. In addition, these protocols are supported by specific policies (12-6, Use of Force, 45-2 Warrantless Searches and Seizures, and 45-1 Strip and Body Cavity Searches). Each of these policies stipulates specific reporting procedures which are in conformance with the requirements of the decree, c.f., 12-6 @ 6.6, 45-1 @ 5.1, and 45-2 @ 3.1. However, given the fact that some of these policies were only recently approved, the necessary training, reporting and supervisory review processes have yet to be institutionalized. The Department of Justice has approved these protocols
the decree (Use of Force on August 4, 1997 and Search and Seizure on November 10, 1997) based on the City’s submission on July 16, 1997. The Search and Seizure protocol approval was delayed by discussion between the City and Justice regarding specific provisions. Training regarding Use of Force reporting has been completed, and the reporting forms and guidelines have been implemented. Subject Resistance Reports are being processed by the department, and the day-to-day operation of controlling use of force by PBP officers appears to moving forward appropriately.

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Even though training has been provided regarding reporting of use of force by PBP officers, training regarding search and seizure has not been completed as of August 15, 1998. Although search and seizure training has begun (see Section 2.4 above) it is not complete.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.6 Assessing Compliance with Task 16: Reporting Traffic Stops

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 16 requires the City to establish reporting requirements each time a police officer makes a traffic stop. The City has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. Reporting practices for traffic stops are currently under negotiation between the City and Justice, and awaiting finalization prior to promulgation. The Bureau has begun collecting traffic stop data, using the form designed by the City. These data are available at the Zones, and, of course, will be entered into the EWS once it comes “on-line.” No traffic stop reports were reviewed by the auditor during this quarter.

Status:

Primary: In Compliance2 Secondary: Not in Compliance Operational: Not in Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY
OPERATIONAL
2 The City submitted the required protocol in a timely fashion. On-going negotiations between the City and Justice are currently underway.
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Page 16

Paragraph 17 requires the City to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The City has developed protocols requiring such entry. The automated EWS has begun accepting data on police use of force and searches, and traffic stops are currently being entered into the system, as well. Obviously, no data are currently available from the EWS regarding traffic stops or other PBP activities.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.8 Assessing Compliance with Task 18: Audits of Use of Force

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 18 requires the City to cause supervisors and senior supervisors to conduct “regular audits” of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.
Methodology
The audit team conducted a random selection of 40 “Subject Resistance Reports” completed by PBP officers, and reviewed by PBP supervisors and senior supervisors, pursuant to policy developed by the Chief of Police. The policy requires PBP officers to complete a SRR any time they use force to subdue a subject. Each of the reports selected was reviewed to ensure that the:
• Form was properly executed; • Form was reviewed by supervisors and senior supervisors within one week; • Supervisory review identifies problems with the use of force, where
appropriate; and • The review process is being implemented as required by the decree.

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Page 17

The results of the review indicate that the City is in primary compliance with the requirement of the decree: the policy regarding use of force reporting has been written and disseminated; the forms are being completed and reviewed; the forms are being forwarded to the training academy and to the administration division; and the forms are being filed as would be expected.

In addition, it is apparent that the training provided regarding the SRR process has been internalized by the officers and supervisors of the Bureau, as the reports reviewed were completed properly, e.g., the “Level of Control” sections were completed with numbers—relating to the order of force employed—rather than “checks.”

Of the 40 SRR’s reviewed, only one was not reviewed by the chain of command within seven days, as required by section 18-a of the decree. Requirements of this section are deemed by the auditor to be a critical function, and less than a 95 percent compliance rate is deemed insufficient to earn an assessment of “in compliance” with the seven day review requirement. The Bureau has met the requirements for operational compliance with use of force reporting and review, scoring a 97.5 percent compliance rate for reporting and review. In addition, a review of completed OMI investigations this quarter indicated that all citizens’ complaints regarding inappropriate use of force included a completed SRR filed, as required, by the officer.

In addition, the City is currently assessing Section 18-a of the consent decree, which requires an OMI investigation of use-of-force incidents which result in “serious injury,” which is defined (at 11-f of the decree) as “any injury that results in death or that the City has reason to know requires or results in professional medical care or treatment” (Decree, p. 5). Thirteen of the SRRs reviewed by the auditor indicated that the subject arrested received medical attention at hospital. While OMI selected eight SRRs for initiation of investigations this quarter, none of the thirteen randomly selected SRRs which resulted in a “serious injury” resulted in an OMI investigation, as required by the decree. Currently, the City is working to resolve this implementation issue. The potential re-interpretation of “serious injury” has been referred to the City Solicitor’s Office and the Department of Justice. Until this area of the decree is better-defined, however, the current working definition established by the decree was used to assess compliance.

Status:

Primary: In Compliance Secondary: In Compliance

Auditor’s Fourth Quarterly Report September, 1998
Public Management Resources San Antonio, Texas

Operational: Not in Compliance3

Page 18

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. To be effective, this requirement, in the judgment of the auditor, requires an automated system, similar to that planned by the automated Early Warning System. The anticipated first date that SRRs can be meaningfully reviewed for patterns is after implementation of the EWS. Protocols requiring review have been written, and all command staff have received training in the EWS process. Obviously, without the EWS in place, supervision, inspection and audit to ensure conformance cannot begin. In the interim, however, the PBP Training Academy has developed and written an analysis of the Bureau’s use of force practices.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-a requires the City to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The

3 Attainment of operational compliance for this task will require resolution of the “serious injury-” OMI investigation issue.
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protocol for searches and seizures has been approved, and training and implementation have been completed.

Methodology

A 100 percent sample of completed “Field Contact/Search/Seizure Reports” (FCSSRs) was assessed for activity levels and the rate at which searches resulted in seizures. The Bureau began processing FCSSRs in June, 1998. To date, through July, 1998, 386 FCSSRs have been processed by the Bureau. Of these, 182 resulted in some form of seizure, a “hit” rate of 47.5 percent. In addition, a random sample of 22 FCSSRs completed during the fourth quarter was selected and analyzed to ensure the reports met the requirements of task 19-a. All but two of the selected reports were reviewed by the searching officers’ chains of command within seven days. However, since task 19-a is considered a critical task, a compliance rate of 95 percent or better is required for a finding of “in compliance.” The Bureau falls short of this requirement for the fourth quarter.

Further, each of the 22 selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the 22 reports was assessed, and supporting documentation, where available, was reviewed. No incidents of unwarranted search or seizure were noted. Additionally, the reports were assessed for completeness and accuracy. Of the 22 reports reviewed, only nine were deemed to be completely and accurately executed.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-b requires the City to analyze the search and seizure activity of its officers on a quarterly basis. The protocols and policies for search and seizure
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Page 20

reporting have been completed, and training and implementation are completed. The EWS’s reporting processes for search and seizure information have not been implemented as of this quarter, thus no analysis can be conducted at this time.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-a requires the City to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The Bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial bias. Three were found that were investigated between May 16 and August 15, 1998: AQR4-E, AQR4-J, and AQR4-P. Of these three, one was sustained. Unfortunately, all three of these investigations were completed during the week of the auditor’s site visit, and were not forwarded to command staff in time to be reviewed before the close of the quarter. Data regarding command staff review were not available at this writing.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias Allegations

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-b requires supervisors to use the EWS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. Until the City’s EWS is brought on-line, supervisors cannot reasonably be expected to comply with this stipulation.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.11 Compliance with Task 21-a: Imposing Appropriate Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 21-a requires the City to impose appropriate discipline after evaluating officer behavior.

Methodology

Based on records provided by the Bureau, no disciplinary action was taken by the department during the period of time covered by this report. While the Office of Municipal Investigations has sustained eight citizens’ complaints during this quarter, the investigations were all completed near the end of the quarter, and as of this writing, no disciplinary action has been assigned for many of these sustained complaints. The department has, however, taken action (termination) against two officers guilty of criminal offenses during the fourth quarter.

Status:

Primary:

In Compliance
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Secondary: Unable to Audit—No DARs for Sustained Citizens’ Complaints this Quarter
Operational: Unable to Audit—No DARs for Sustained Citizens’ Complaints this Quarter
2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 21-b requires the City to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on reviews of officer behavior.

Methodology

The auditor reviewed the Bureau’s disciplinary processes for the period from May 16 to August 15, 1998. While the Office of Municipal Investigations has sustained eight citizens’ complaints during this quarter, the investigations were all completed near the end of the quarter, and as of this writing, no disciplinary action has been assigned for many of these sustained complaints.

Status:

Primary: In Compliance Secondary: Unable to Audit—No DARs for Sustained Citizens’
Complaints this Quarter Operational: Unable to Audit—No DARs for Sustained Citizens’
Complaints this Quarter

2.11.2 Compliance with Task 21-c: Consider Prior Record in Determining Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 23

Paragraph 21-c requires the City to consider an officer’s prior record in determining discipline.

Methodology

According to records provided by the Bureau and the Office of Municipal Investigations, no disciplinary action was taken by the Bureau this quarter. However, since the Bureau was deemed in compliance with this requirement last quarter, and, as no evidence was seen indicating a change in performance, it retains its “in compliance” status.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 22 requires the PBP to establish disciplinary action files, or “performance files” at the zone level.
Methodology
The auditor’s team visited two randomly selected unit locations (Zone One and SDD) and pulled a random sample of officers’ personnel and performance files. These files were assessed for compliance with the requirement that states that the files would include:
• Officer’s Name; • Discipline Imposed; • OMI File Number; and • A Description of Factors Considered.

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In addition, the auditor’s team assessed the same officers’ files in the PBP centralized personnel records system, and the OMI database, to assess the level of accuracy of the zone files.

As with the requirement to assess use of force issues, the Bureau is in primary compliance with the stipulation of task 22: A series of chief’s orders has been promulgated (97-009 and 97-024), establishing a requirement for zone commanders to maintain “performance files” which conform to the requirements of the consent decree.

An assessment of the zones’ performance on this task indicates that the Bureau is also in secondary and operational compliance with this task. All of the zones’ performance and personnel files showed at least a 95 percent accuracy rate.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual Performance Evaluation

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 23 requires the City to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.
Methodology
The Bureau has developed a performance evaluation policy which meets the requirements of the decree, and which was approved and disseminated in April, 1998. Training regarding the performance evaluation system was completed by May 16 for all personnel except three officers who were on leave. The first wave of performance evaluations has been completed. The auditor has reviewed a randomly selected sample of these evaluations, and found them to be appropriate and complete. The Supervisor’s Performance Evaluation Guidelines
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Page 25

includes several points at which supervisors would be expected to monitor their subordinates’ conduct (see Performance Evaluation Guidelines, section eight, “Monitoring Officer Conduct”). Based on the documents reviewed, it appears that the Bureau is in compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 24 requires the City to use performance evaluations as a factor in promotional decisions.

Methodology

The Bureau has developed a performance evaluation policy which appears to meet the requirements of the decree, and the policy was implemented in June, 1998. The Bureau has promoted no personnel during the last three quarters, thus no promotions have been made which are in contradistinction to the “performance-based” promotion requirement of the decree. Promotions using these data, obviously, cannot be made until a later date. We anticipate that future Auditor’s Quarterly Reports will be able to assess the performance evaluation-based promotions.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Unable to Audit

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2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 25 requires the City to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.

Methodology

The auditor’s team visited two randomly selected unit locations (Zone One and SDD) to assess the degree of compliance with paragraph 25. During the site visit, the auditor reviewed zone performance files, and conducted walk through inspections of zone facilities such as bulletin boards and office space.

Evidence exists to support the Bureau’s operational compliance with paragraph 25. The review of zone “performance files” indicates that the EAP is being used by departmental personnel and departmental managers. The counselors assigned to the EAP were interviewed during the first quarter by the auditor’s staff, and appear to be both experienced and knowledgeable concerning EAP practice and standards. It appears that EAP participation is non-retributive and meets established practice for such programs.

Departmental policy requires the posting of EAP flyers at each of the zone stations, and of the two zones visited, all had had the flyers readily visible in the stations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.16 Compliance with Task 26: Notification of Adverse Involvement

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 26 requires the City to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the City to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

During the auditor’s review of departmental personnel files, the files were assessed for evidence of implementation of PBP Policy 44-5, effective 8-25-97, which requires notification of the chain of command any time:

• A warrant is to be served on a member of the service; • A protective order is to be served on a member of the service; • An on-scene arrest is made of a member of the service; • An officer is arrested by another agency other than the PBP; or • An officer of the service is the subject of a civil suit.

The PBP has received notice of a pending civil case during this quarter (dated June 2, 1998). In addition, the department has taken action on incidents involving five Bureau officers related to settled litigation. The actions taken appear appropriate, given the nature of the settlement, and range from retraining in issues related to the settlements to suspension of extra-duty priveleges for one officer involved in settled litigation. The Bureau remains in compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

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2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
Secondary Operational
Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the Bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.

Methodology

A review of records available during the time frame of the fourth quarterly audit indicated no criminal proceedings in progress against PBP officers; however, the Bureau has established an agreement with the District Attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. Further refinement of this process is anticipated. Current plans call for the City to monitor court cases for criminal charges which are dismissed because of illegal searches or other illegal activity on the part of the police. In such events, OMI would, based on the dismissal, initiate an investigation of the officer’s actions.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.18 Compliance with Task 28: Settled Litigation

Sanctions for Officers Involved in

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
Secondary Operational
Paragraph 28 requires the City to implement appropriate discipline “as the circumstances and OMI investigation warrant,” in all instances in which PBP
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officers are the subject of civil litigation.

Methodology

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation. During the last quarterly audit, the department received notification of settled litigation involving five Bureau officers. A review of the files indicates that the department provided mandatory counseling, from the Bureau legal advisor, for all five officer over topics related to the issues in the settled cases. In addition, one officer received a six month suspension of permission to work secondary details. A third officer was given, in addition to a mandatory counseling session with the legal advisor, a copy of the settlement documents “as an experience tool.” It is clear from this review that the department continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 29 requires the City to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.
Methodology
The auditor interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the Bureau, publishing legal bulletins, two during this quarter, and providing inservice training for Bureau officers. In addition, the legal advisor has been
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involved in mandatory counseling of five officers who were the subject of settled litigation during the last quarter. The Bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.20 Compliance with Task 30: Develop a Rotation Schedule

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP has developed a personnel rotation plan, and has implemented the first phase of the plan during the second quarter. The plan, supported by Chief’s Memo 97-550, has transferred 91 officers to other assignments through January 1, 1998. Additional officers continue to be transferred as part of this rotation policy, with the next round of transfers which occurred in June, 1998 (and ordered by the Chief of Police in May, 1998).

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 31

Paragraph 31 requires the PBP to “make every effort” to participate in community meetings, including those oriented toward minority groups.

Methodology

The auditor reviewed monthly attendance logs for police zones for the months of May 16 through August 15, 1998. The logs show multiple community meetings attended by PBP personnel, although the volume of meetings is reduced, presumably due to the fact that community meetings are more sparse during the summer months. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings were available.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the City to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.
Methodology
The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. Effective this quarter, the City has developed and aired (on average eight times daily) on the City’s public access cable channel a professionally created video tape explaining OMI’s function in investigating complaints of alleged misconduct against City employees. The video covers all important aspects of the internal investigations process, and according to the City, reaches 105,000 households throughout the Pittsburgh area. Based on 2.7 residents per household (a national average), the video is reaching nearly all of Pittsburgh’s
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residents. The City is currently working with major television networks in the Pittsburgh area to carry Public Service Announcement regarding the OMI process. The City has also printed a brochure explaining the OMI function and has distributed the brochure to all of the City’s community organizations and placed these brochures in all City buildings.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 33 requires the City to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.
Methodology
The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted a site-visit of the training academy, and have interviewed many of the personnel assigned to the training academy. The Bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Through July, 1998, the Bureau has continued to train its officers in the topics of cultural diversity, “effective communication” and ethics. To date, according to the Training Academy’s records, more than 99 percent (1,080) of the department’s 1,1254 currentlyworking5 officers have received training in cultural diversity.
4 The Academy’s training records appear to have been cleared of retired, terminated, and deceased officers, bringing the total number of employees in the training database to 1,125.
5 A total of 22 PBP officers are carried on extended leave or other non-functional status, as of July 29, 1998 when these training records were generated, leaving 1,081 of the PBP’s 1,103 officers eligible for cultural diversity training.
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More importantly, perhaps, the department is currently engaged in a re-

engineering effort for its cultural diversity program. The revised curriculum for

this topic is being developed by a Cultural Diversity Task Force Team, which will

assist the training academy in developing the new curriculum. This is exactly the

nature of the processes identified as needed for operational compliance—moving

beyond mere “letter of the law” compliance to a process of critically assessing

the

of tasks on the policing environment.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 34 requires the City to establish monitoring systems which will assess citizens complaints for indicators of needs in training or re-training. The Bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.
Methodology
In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports.
It is clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. Further refinement of this process may depend on the EWS, or some intensive systems redesign in the way reports

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Page 34

(and which reports) are forwarded to and analyzed by the Academy and command staff.

Status:

Primary: In compliance Secondary: In Compliance Operational: Not in Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 35 requires the City to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de-escalation training “into all other training that implicates the use of force.”
Methodology
While the City and the Bureau continue to make progress toward compliance with this task, no new milestones have been met this quarter. The City is currently under contract with a nationally recognized consultant to deliver a series of classes on “verbal judo,” a process of verbal de-escalation which is recognized nationally as effective in reducing police-involved violence. The auditor is familiar with this curriculum, and believes that, if it is implemented as required by the decree, it will meet and exceed the requirements of the decree. Delivery of a “train the trainers” session to 23 PBP personnel who will serve as “verbal judo” trainers occurred in March, 1998. Training of “all officers” has not yet begun.
Further, operational compliance with this paragraph would require, in the opinion of the auditor, a complete in-service and recruit curriculum review to identify curriculum items that relate to use of force—or the avoidance thereof—and insertion of training elements in verbal de-escalation. This process is currently underway, in a joint program between the City Law Department and the Bureau of Police. Three staff attorneys from the City Solicitor’s office are working with Training Academy staff to develop a comprehensive review of the PBP’s training curriculum with respect to use of force training. The goal is development of a
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Page 35

five-year training plan and a revision/rewrite of all aspects of the curriculum which entail police use of force—or avoidance thereof. No product has been developed as of this writing.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 36 requires the City to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation “at the beginning of the training curriculum to serve as a foundation for all other classes.” No recruits were trained in the fourth quarter. The last recruit class offered by the PBP ran from May 19, 1997 through October 24, 1997. The recruit curriculum offered “ethics” training in weeks three and four, human relations skills in weeks four and five, multi-cultural training in week six. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree. No new recruit classes have been offered since October, 1997, thus no additional audit of the recruit training curriculum was possible.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Page 36

Paragraph 37 requires the City to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the Bureau’s curriculum outlines for cultural diversity and ethics. In addition, the auditor has reviewed other curriculum components which he asked to be forwarded for review. The Academy’s maintenance of training records for non-mandatory training has been substantially updated since the last quarterly report. According to academy records, all but 29 of the departments 1,1036 personnel (97 percent) have received training in ethics.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 38 requires the City to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.
Methodology
The auditor assessed primary steps necessary to complete the tasks required by this paragraph. The Bureau has, however, completed work on a script for a training video; the script has passed legal review, and the initial taping has been

6 The Academy’s training records appear to have been cleared of retired officers, terminated officers, and deceased officers, bringing the total number of employees in the database to 1,103 currently working officers, and 22 officers on extended leave or other non-functional assignments.
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completed. An initial session was presented by the OMI manager to recruits. The training of “all officers” in the OMI complaint process has begun, using a video tape, a training syllabus and an associated examination. Based on a review of the training records, the department has trained approximately fifty percent of its officers in the OMI process.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.29 Compliance with Task 39:

Encourage Qualified FTO

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 39 requires the city to recruit “highly qualified” Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the City to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.

Methodology

During the first quarterly report, the auditor selected slightly more than a 50

percent sample of the 25 newly appointed FTOs selected by the Bureau for its

new recruits. Each of the 13 records selected was screened for poor disciplinary

record, complaint history, and past performance. Given the Bureau’s delay in

implementing paragraph 23 (performance evaluations) these evaluations could

not be used in

the FTOs appointed in July, 1997; however, recent re-

evaluations of FTO performance included performance evaluations in the

evaluation packet.

The auditor found all of the 13 officers’ files to be reflective of police careers that would recommend a role as an FTO. The field training officers’ records were clean of any civilian complaints that would require disqualification as an FTO. No new FTOs were appointed during the fourth quarter.

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In addition, the auditor pulled a random sample of 15 PBP instructors’ files to assess completeness, accuracy, and conformance to established standards. Further, the auditor checked each instructor who taught at the Academy during the second quarter to ensure that they were certified to teach the subjects they taught during the quarter. Each file checked was complete, accurate, and organized as one would expect. All instructors checked were certified by the state—or other certifying agency—to teach the topics they were assigned.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40:

Train all FTOs and Instructors

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 40 requires the City to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the City require FTOs and instructors to “demonstrate on a regular basis, their proficiency in their areas of instruction.”
Methodology
The auditor reviewed the training curriculum for FTOs and instructors provided through contract for the PBP. All instructors and FTOs are first “instructor development certified” by either the Federal Bureau of Investigation or Indiana University-Pennsylvania. FTOs then receive an additional five days of training at the PBP Academy for specific FTO-related topics. The specific provisions of paragraph 40 requires “demonstration on a regular basis…[of] proficiency in their areas of instruction.” The Police Bureau requires a formal assessment, using two forms specifically designed for evaluation, of the FTOs. The first (“Field Training and Evaluation Program—FTO Critique Form) is a two-page evaluation completed by field trainees. The form evaluates FTOs relative to the trainees’ assessment of the FTO’s ability, interest, knowledge, skill, ability to communicate, and fairness. The aggregate data collected through this process is shared with the FTO by the Academy commander. In addition, the PBP assesses FTOs by requiring their supervisors to complete an evaluation form (Field Training and
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Evaluation Program—FTS Critique Form). This form requires supervisors to rate FTOs on their skill as a trainer, their ability to communicate, their fairness, promptness, and attendance. These data as well are shared with the FTO.

In addition, the Academy has begun a process of testing for all consent-decree and state mandated training classes. The Academy evaluates instructor proficiency through these test scores, assuming that effective instructors produce students who can pass Bureau and State exams. The process of testing for all consent decree-related training is relatively new; however, during the fourth quarter, more than 1,000 exam scores were reviewed by the auditor. The vast majority of test scores of PBP personnel were in the 85-100 range (of a possible 100). The examinations that the auditor reviewed indicated a close correlation between the instructor’s syllabus and the exams. Further, a review of the examinations indicated that they are substantive and not, on their face, overly simple or easy to pass.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 41 requires the City to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”
Methodology
The auditor conducted a thorough second-quarter review of the Academy’s training records during a site visit to the Academy. Selected training curricula were assessed, and specific documents were selected for further analysis. This included training records for state-mandated and consent decree-related training. These records now appear to be up to date and complete. The records are kept in useable format, and are managed by a sworn officer, adept in
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manipulation of the database, and capable of generating

reports. The

records currently can generate reports by officer, training topic, hours, date and

test score.

Changes to the Academy’s record-keeping processes are relatively new; however, this quarter’s assessment shows the records to be free from error, and to exhibit a “living” quality, i.e., they are updated frequently, and subjected to error checking and correction processes. The Bureau continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42:

Document Mandatory Counselings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 42 requires the City to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of data for the fourth quarterly report, the department’s centralized file which is used to document mandatory counselings was reviewed. Five records were found which had required a mandatory counseling for a PBP officer. Each of these five mandatory counseling sessions was related to settled civil litigation in which the officer had been named. The sessions were related to the allegations of the litigation, and designed to avoid future incidents.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.33 Compliance with Task 43: Training

Page 41
Annual Supervisory and Leadership

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 43 requires the City to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors The Bureau continues to move forward with training for its senior supervisors. All but three senior supervisors have received the updated ethics training being designed by the Bureau. Test scores for senior supervisors average in the high 80s.

It appears, from the records available at this time, that a majority of all senior supervisors have been trained at Pennsylvania State University’s “POLEX” command staff training program. An in-service component on “ethics” has been developed, and all senior supervisors have received this updated training.

According to Academy records, all senior supervisors have been trained in ethics, cultural diversity and OMI investigations. In addition, nine senior supervisors have attended the “Command Institute,” according to academy records.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.34 Compliance with Task 44: OMI Quality Assurance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Page 42

Paragraph 44 requires the City to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available for OMI investigations from 1986 through 1997. Using this database, records of complaints for individual officers can be easily identified; however, assessment of complaint history on a routine basis, for all officers, is cumbersome and difficult.7 This database will be replaced by those planned for the EWS when it comes on line.

Further, this paragraph requires that OMI prepare complaint histories from the Early Warning System. Obviously, the City cannot come into compliance with this paragraph until the EWS comes on-line.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

7 This undoubtedly is one factor leading to individual officers’ accrual of multiple complaints without management notice, as discussed in 2.2, above.
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Paragraph 45 requires the City to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

The auditor has reviewed Chief’s Orders 97-009 and 97-024 which established the zone “performance files.” These orders required the creation of disciplinary files at the zone level which “contain all OMI and non-OMI complaints that have been filed against the officer,” (CO 97-009). CO 97-024 requires that performance files “shall be available to personnel within the officers’ chain of command who are responsible for the officers’ training, counseling, or discipline.” The auditor’s team visited two randomly selected unit locations (Zone One and SDD), and pulled a random selection of personnel and “performance files” for inspection. In addition, the files were assessed for reasonable accessibility for sergeants, lieutenants and commanders who supervise sworn officers.

The PBP continues to provide access to police officers’ files in an area of each zone station house which is accessible to sergeants and lieutenants working evening and night turns. The files continue to be updated, and most files were found to be an accurate reflection of the OMI and personnel databases.8 The audit did uncover three citizens’ complaints that were not in the zone files. This constitutes an error rate of less than five percent; however, since this task is considered a critical task, it puts the department on the cusp of falling out of compliance with task 45. A renewed effort to ensure compliance may be necessary prior to the November audit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

8 While task 12 requires that supervisors note the occurrence of three similar or five total citizens’ complaints over a two year period, regardless of complaint outcome (a task identified by the department for the EWS), the random selection of personnel files noted at least one officer with three similar complaints—not yet investigated by OMI—in three months. While the proposed EWS would have noted this fact, the current system, laboring under a manual process, was unable to note the occurrence of three similar complaints of verbal abuse in a threemonth period.
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2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 46 requires the City maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the City to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be “identical” to that received by OMI police investigators. The paragraph further requires that the City make the OMI manual available for inspection at PBP facilities and at the OMI office.

Methodology

The auditor reviewed the OMI manual, as promulgated on December 1, 1997, for revisions and assessed OMI training documents. In addition, the auditor reviewed training records for OMI personnel. Records provided by OMI indicate that all civilian OMI investigators have received training during the fourth quarter, and the office continues to implement its training plan for investigative personnel.

The Office is in primary compliance with the requirements relating to promulgation of an OMI manual, and provision of training for OMI staff. In addition, the Office has developed an annual training plan for 1998-99, and made all suggested revisions in the OMI manual during the last quarter. No new revisions were made this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.37 Compliance with Task 47:

Receipt of Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 47 requires the City to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.

Methodology

The auditor reviewed eleven of twenty-two completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were “required” to complete any OMI form prior to receipt of the complaint and initiation of the investigation. The revised OMI manual was assessed to determine levels of compliance with the stipulations of paragraph 47 and the consent decree. The OMI manual requires that complaints will be received via telephone, facsimile, mail, or in person, as well as anonymously. Revised OMI form 103-97 includes a checkbox for each receipt method.9 Further, the auditor assessed completed OMI complaint investigations to determine if complaints were being received in accordance with the decree.

Evidence was available in the completed investigations to indicate the particular method by which complaints were being received. Of the eleven investigations reviewed (of twenty-two citizens’ complaints completed this quarter) ample evidence existed of receipt of complaints via telephone, letter, and in-person.

Completed investigations were reviewed for any indication of requirements for complainants to complete forms prior to initiation of an investigation. None of the eleven files reviewed included any form completed by a complainant.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

9 Although many of the investigations completed this quarter used the old OMI 103-97, which does not have the check box for method of receipt.
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2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 48 requires that the City accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

As noted in the first auditor’s quarterly report, a review of completed OMI investigations did not indicate that anonymous or third party complaints were—or were not--being investigated. Although intake forms have been revised to indicate the source of the complaint, none of the complaints reviewed this quarter were anonymous complaints. The City’s new OMI video emphasizes the fact that complaints will be received from anonymous and third-party sources.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.39 Compliance with Task 49:

Closure of OMI Investigations

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.
Methodology

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Page 47

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. In addition, a sample of three completed OMI investigations for last quarter, and eleven for this quarter, was assessed to determine if any of the complainants in these cases had withdrawn the complaint. One such complaint was found, during the fourth quarter, in which the complainant signed an official “notice” of withdrawal of his complaint. The OMI investigation, nonetheless, was completed, and was thorough.

Status:

Primary: In Compliance Secondary: In compliance Operational: In compliance

2.40 Compliance with Task 50: Relocate OMI

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 50 requires the City to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the City publicize the new OMI location.

Methodology

During the second quarter, the auditor verified that OMI had been relocated, and assessed the relocation as meeting the requirements of the decree. The only element precluding operational compliance with section 50 of the decree, at that time, was lack of “notice” to the public of the relocation. During the auditor’s site visit for the fourth quarter’s audit, the level of notice of the relocation was assessed. The City has taken proactive steps to publicize the location or function of OMI since the last quarter. A public-access video has been aired detailing the Office’s new location, and thousands of brochures have been printed and distributed noting the Office’s new location.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 51 precludes the City from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the City to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The City is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings “in all City buildings.”
Methodology
The auditor reviewed eleven of the twenty-two citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a City facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel were taking numerous interviews at complainants’ and witnesses’ homes. The auditor reviewed attendance logs for OMI’s quarterly meetings (held between May 16 and August 15, 1998), reviewed the newly revised OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings, and requested copies of publicity documents posted by OMI relative to the quarterly meetings. Further, the auditor assessed completed OMI investigations to attempt to identify whether or not complainants were required to come to a PBP facility to register a complaint or make a statement.
The quarterly attendance logs indicate that OMI personnel have been conforming to the requirement to attend quarterly meetings. While they offer to take complaints at these meetings, according to staff, no such complaints have been registered or investigated. The OMI manual, at section 4-1(B) stipulates that “OMI also accepts complaints during quarterly, off-premises meetings in rotating zones.” This quarter, the City advertised zone meetings in City buildings, and provided copies of publicity notices used to publicize the OMI quarterly meetings in City
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buildings. Further, the brochures printed by the City and the video completed and aired to all cable recipients, provides further information regarding identifying the location of zone meetings (by providing an contact name and a telephone number). While no logs were provided to ensure that “all City buildings” had posted notices of zone meeting dates, time and locations, the use of the OMI public-access video, coupled with the printed OMI brochure, gives, in the opinion of the auditor, ample notice allowing those interested to attend zone meetings. Further, it should be noted that each City facility the audit team visited this quarter had the OMI brochures prominently displayed in public areas.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 52 requires the City to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.
Methodology
The auditor attempted to track the paper trail from OMI to zone-level senior supervisors, and to find any evidence at the zone level of notification from OMI of use of force, improper search or seizure or racial bias. OMI does issues monthly reports identifying officers complained against, the type of complaint and a brief narrative. These reports are forwarded to the Chief of Police, and the Deputy Chief for Operations. In addition, any complaint alleging racial bias is automatically forwarded to the Human Relations Commission (although this process is not treated in the new OMI manual).
During this quarter’s site visit, the auditor was able to track a “paper trail” of notice to senior supervisors of complaints filed by citizens, noting dissemination of quarterly and monthly OMI reports to senior supervisors of the Bureau of Police. In addition, notice is sent to each zone, and filed in the zone performance file, of
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OMI investigations of allegations against officers assigned to the zones. This includes all allegations, including those of improper use of force, search and seizure and racial bias.

The auditor also found evidence of a proactive use of data regarding citizen complaints at the level of the Deputy Chief for Operations (DCO), who, it was noted, often includes discussions of such data in his presentations at command staff meetings, and at the level of the Chief of Police. Given this stance on the part of the Chief of Police and the DCO, and given the fact that notice of complaints is made to senior supervisors, the Bureau is deemed to be in operational compliance for task 52.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation

Responsibility for Complaint

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 53 requires the City to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to “settle” OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.
Methodology
The auditor reviewed the OMI manual for sections relating to paragraph 53, interviewed OMI personnel, and reviewed OMI case files for any indication of incompleted or “withdrawn or settled” OMI cases. Section 2-1 of OMI’s new manual charges OMI with jurisdiction to “investigate all personnel of any department of the City of Pittsburgh...” and specifically notes the departments over which OMI has investigative authority, including the PBP. A review of eleven of the twenty-two completed OMI investigations for this quarter indicates that the City remains in compliance with this task. One case was found in which the
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complainant officially notified OMI of his desire to withdraw his complaint. The allegations were completely and thoroughly investigated, despite this withdrawal.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Number on Request

Officers to Provide Name and Badge

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, “Conduct Toward the Public” requires that “when requested by any person, a member shall give his name and badge number in a courteous manner.”

Methodology

The auditor reviewed a sample of completed OMI cases for the fourth quarter (May 16 to August 15, 1998) to determine if allegations of failure to provide name and badge number were made to OMI. Four allegations of failure to provide badge numbers and names were found. Of the four, one allegation was sustained.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.45 Compliance with Task 55: Alternative Sites

Interview of Complainants at

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI stipulates that OMI will arrange to interview complainants “off-site,” if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted “off site.” Among the eleven completed investigations assessed during this quarter, ample evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ home) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: Interviews

OMI to Tape and Transcribe

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept “special reports” in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.
Methodology
The OMI manual stipulates a “Tape Recorded Statement Form” and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed eleven (of twenty-two) completed investigations of citizens’ complaints provided by OMI based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases reviewed
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except one (AQR4-S) included transcriptions of OMI interviews of officers,
witnesses or complainants. One of the cases selected for review (AQR4-S)
included a written report from an officer, rather than taped and transcribed interviews.10

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

2.47 Compliance with Task 57:

OMI Staff Access to EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 57 stipulates that OMI staff should be provided access to the City’s Early Warning System. Current plans call for such access; however, this access cannot be audited until the EWS comes on-line.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.48 Compliance with Task 58:

OMI to Interview Supervisors at

Scenes of Incidents Leading to Allegations of Misconduct

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

10 This case was filed with OMI in October of 1997, and was investigated prior to the Bureau’s

negotiated agreement with the Fraternal Order of Police regarding transcribed officer’s

statements. In addition, the case was filed more than 90 days

the alleged incident, and,

according to the contract with the FOP, officers are not required to give written statements

concerning such events.

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September, 1998

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San Antonio, Texas

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Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

The auditor reviewed the OMI manual for revised language stipulating that supervisors and senior supervisors be interviewed. Section 6-1(M) of the OMI manual identifies a requirement that OMI locate any supervisors or senior supervisors, and interview them regarding incidents in which they “participated” or were involved.

As noted in the first auditor’s quarterly report, the OMI manual contains language concerning the need to interview senior supervisors and supervisors; its revised version requires OMI investigators to determine the supervisors’ “handling of … situation[s] during and after the alleged incident[s]” and their “observations of the complainant[s] and the accused officers.”

Further, OMI case reports which were reviewed were assessed for any evidence that the investigator had attempted to locate any potential supervisors at the scene. Two of the eleven cases reviewed produced an indication that supervisory personnel were present. The OMI investigator interviewed the supervisors, took a taped and transcribed statements, and included the statements of the supervisors in the analysis of the cases through the final reports.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59:

OMI to Canvass for Witnesses

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 59 requires OMI to canvas the scene of an incident for witnesses “as soon as possible” after receiving a complaint where canvassing could “reasonably yield” additional information.

Methodology

The auditor reviewed the OMI manual, Section 6-1G, which requires neighborhood canvasses, “as soon as possible” after receiving a complaint. Case tracking forms also include a “check off” box for witnesses located through the canvassing process.

The auditor reviewed a sample of eleven completed OMI cases for the fourth quarter (May 16 through August 15, 1998) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Of the eleven cases reviewed, all included documented efforts to reach witnesses—through the process of a neighborhood canvas--who may have observed the event. One case AQR4-R was noted , however, in which the canvas appeared—from the investigator’s report—to be less than aggressive, consisting, if one is to judge from the report, of one telephone call to a supervisor of a key witness. While the effort met the technical requirements of the decree, it brings the Office to the cusp of losing compliance in this critical area. Supervisory personnel at the Office are encouraged to carefully monitor this area of Office performance for the November audit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60:

OMI to Review Police Shootings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

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The auditor assessed, through departmental records, the number of policeinvolved shootings which occurred during the fourth quarter and found one. The discharge resulted in an OMI investigation, as required by the consent decree (See AQR4-G). A review of this investigation indicated a careful and thorough analysis of the discharge, and a finding that appeared appropriate, given the fact situation.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: Allegations of Misconduct

OMI to Aggressively Investigate

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 61 requires that OMI investigators “aggressively” investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed a 50 percent sample of OMI investigations completed from May 16 through August 15, 1998, to assess the level of compliance with paragraph 61.

The investigations were evaluated regarding complaint receipt and processing,

case management, investigation and documentation, findings and determinations

and reporting. Further, training for OMI personnel was also reviewed, as, in the

auditor’s opinion, training is

to acceptable performance. During the

fourth quarter, personnel assigned to OMI continued to experience a substantial

increase in training.

Of the eleven investigations assessed for the fourth quarter, four proved problematic for one reason or another. These included the following cases.
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• AQR4-R, a complaint concerning Conduct to the Public which exhibited a burden on the complainant, evident in the investigator’s use of the notation that “No phone number given by complainant” as a reason for not contacting two witnesses listed by the complainant. Further, this investigation included a key witness who was, apparently, important to the investigation, but whom the investigator, apparently, attempted to contact only once, through a letter to the witnesses supervisor. Apparently no follow-up telephone calls were made to attempt to interview the witnesses. The same lack of follow through was apparent with other witnesses, some of whom were discounted because there was no response to a single telephone call—even though no message was left by the investigator.
• AQR4-N, a domestic violence incident in which, apparently, two officers forced their way into the complainant’s home, according to independent witnesses, by threatening to break the door down, after both the parties involved in the dispute had refused the officers access. The fact situation evident from the investigation should have initiated a collateral misconduct investigation to ensure that the officers had adhered to the department’s domestic violence policies and warrantless entry policies. No such assessment was done. Further, based on the officers’ testimony, the violent portion of the episode was initiated when the officers “grabbed for the telephone” the male homeowner was holding. The investigation failed to inquire as to the reasons the officers would take such an action, and failed to assess if such a decision and command were reasonable, given the fact situation.
• AQR4-U, which involved allegations of false arrest and excessive force. The compliant was filed more than 90 days after the event, and the investigation was “unfounded,” with the Office citing the working agreement between the Union and the City. Both officers refused to give statements. The allegation of false arrest is certainly one that “could” lead to criminal charges, depending on the reasons the officers had for entering the complainant’s home without a warrant. The investigation includes no assessment of the potential for criminal charges, and simply adheres to the “90 day rule.”
• AQR4-S, which is another “90 day rule” case in which the original complaint was one of false arrest and verbal abuse. Although no difficulties were apparent in the investigation of the illegal detention, credible evidence exists to suggest that there may have been an illegal arrest made by Bureau officers. An independent witness informed OMI investigators that, despite knowing that they had the wrong individual, one insisted that the
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complainant be arrested on a discretionary charge of disorderly.” Despite repeated warnings from fellow officers that the complainant was not the suspect they sought the officer persisted, citing the complainant for disorderly conduct. Further, it appears from the record in the case that potential collateral misconduct occurred during the investigation as officers all denied using profanity with the suspect, yet an independent witness quoted one of the Bureau officers as referring to the suspect, to his face, as an “asshole.” Despite this contradiction, no investigation was conducted by OMI into the potential allegation of untruthfulness.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.52 Compliance with Task 62: Four Corners”

OMI to Act on Behavior “Outside the

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled “outside the four corners” of the original complaint.
Methodology
The auditor reviewed the OMI manual for reference to the requirement to note conduct “outside the four corners” of the complaint which violates departmental policy or procedures. The OMI manual refers to such complaints as “collateral misconduct,” and stipulates in Section 6-8 that “if, during the course of an OMI investigation, an OMI investigator has reason to believe that … collateral misconduct [occurred] the investigator must investigate and make findings with regard to such collateral misconduct.
The auditor also reviewed a 50 percent sample of citizens’ complaint investigations completed by OMI between May 16 and August 15, 1998. Each complaint was evaluated to determine if any behavior could be noted that would
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Page 59

be “outside the four corners” of the original complaint. Four were found (three of the four are discussed in Section 2.51, above). One of the four resulted in an investigation of collateral misconduct (failure to apply for approval for secondary employment) which sustained the allegation.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.
Methodology
The auditor reviewed a sample of eleven investigations completed by OMI between May 16 and August 15, 1998. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. While each file contained a final report, five were incomplete, not in conformance with established practice for internal investigations, or were not in compliance with the requirements of the consent decree. Deficiencies noted included: placing the burden for investigation on the complainant, failure to include intake forms, checklists or other standard investigative reports, and failure to assess collateral misconduct. Detailed assessments will be provided to the Office, identifying needed changes in investigative reporting and process. The auditor has observed marked changes in the format, structure and content of the Office’s final reports. For the most part, the style, content, structure and organization of the reports are a major improvement. Some work remains to be done, however, to bring all reports into compliance with the consent decree.
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Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 64 requires the City to provide OMI with “sufficient staff, funds and resources to perform the functions required” by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
During the first quarterly audit, the auditor conducted a routine desk audit of OMI practices, caseload and work product. OMI is currently staffed by five fulltime investigators, one of whom is assigned to non-police investigations. The four remaining investigators received approximately 89 cases during the first quarter, and during the fourth quarter that number appears to be increasing slightly.
Some progress has been made by tightening up the management control of investigations: providing needed training for investigators and managers, and by providing a full-time intake coordinator’s position—which removes investigators who are in the office writing case reports from telephone duty. The intake coordinator also provides other services which free up investigators for case work. Further, one additional OMI employee has been hired and has been assigned the function of case analysis and development of case conclusions, based on facts gathered by the investigators. Productivity of the Office has increased significantly during this quarter. Twenty-two completed case investigations were forwarded to the Bureau by the Office, an increase of 550 percent over last quarter. Fourth quarter productivity is comparative to firstquarter levels, albeit with a major improvement in the quality of case investigations compared to the first quarter.
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The Office Municipal Investigations has received approval to increase OMI staffing assigned to police investigations by 75 percent, with the addition of three staff (an intake coordinator, who has been hired, and two additional investigative positions, one of which has been filled). The Office is assessing other staffing solutions, and has reviewed some of these plans with the auditor. Staffing is, of necessity, a decision made carefully; however, the auditor remains of the opinion that, currently, inadequate staffing levels are present in OMI to handle existing and anticipated workload, although plans have been made and partially implemented to improve this situation.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology

The auditor reviewed the OMI

, which states at

Section 7-4 that “all findings by OMI shall be based upon the ‘preponderance of

the evidence standard.’” The revised (5/98) document defines this standard for

the reader, using applicable civil law definitions. Despite this guidance, which, in

all fairness was made available to investigators only May of 1998 (despite an erroneous date on Section 7-4 of 11/97)11, OMI investigators appear to have

begun to use the preponderance of evidence standard in developing their

conclusions. Unlike previous quarters, this quarter’s OMI investigations tended to

track the required standard more closely. There remains some confusion

regarding the logical interpretation of evidence—or the development of written

11 Section 7.4 of the OMI Manual was revised in May, 1998 to provide a more complete definition of “preponderance of the evidence.”
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analyses of evidence—but this does not approach the level of non-compliance, and is best dealt with through use of the auditor’s “Internal Investigation Screening Form” comments provided to OMI personnel on each case reviewed.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.56 Compliance with Task 66: Statements

No Preference for Officers’

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 66 stipulates that “there shall be no automatic preference of an officer’s statement over a complainant’s statement,” and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed the OMI

for references to

preferences to officer’s statements, and found a reference in the revised (5/98)

Section 6-9. There were also references to credibility determinations (Section 6-

9) which conform to the requirements of paragraph 66.

In addition, the auditor reviewed eleven of the twenty-two OMI investigations of citizens’ complaints completed during the fourth quarter for conformance to this requirement. In each of these eleven, credibility assessments were documented in the final report. None of these were found to give preference to the officers’ statements.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.57 Compliance with Task 67: Authority

OMI Retains Final Investigative

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between May 16 and August 15, 1998, searching for a case which resulted in a sustained finding, with evidence of a “reversed” OMI finding by a supervisor or senior supervisor. No such evidence was found. The reader should note, however, that all OMI investigations completed this quarter were completed late in the cycle, and had not yet had time to be reviewed by the Bureau. Based on previous performance, however, and the fact that no contrary evidence has been uncovered, the City is deemed in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.58 Compliance with Task 68: Resolved”

Change “Not Sustained” to “Not

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 68 requires the City to change the OMI disposition category of “Not Sustained”

Methodology

The auditor reviewed the OMI manual, which stipulates at 7-1B, that cases which generate “evidence that is insufficient to prove or disprove that accountability standards have been violated” will be classified as “Not Resolved.” Further, the auditor assessed all completed OMI investigations for the period May 16 and August 15, 1998, to determine if the disposition of “Not Resolved” was appropriately used. In the cases reviewed that produced evidence which should be classified as “Not Resolved” the case was so classified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69:

OMI to Issue Quarterly Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.
Methodology

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The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the Decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December 4, 1997. The City is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the City is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Assurance Checks

Auditor to Perform Quarterly

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

• OMI final reports; • Substance and timeliness of 50 percent of all OMI investigations completed; • Statistical information on the number and types of complaints filed with OMI; • Statistical information on discipline imposed on sustained complaints; • Assessments of officer use of force, searches and seizures, and traffic stops.
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Methodology
This fourth quarterly report is offered as compliance with the requirements of Task 71.

2.62 Compliance with Task 72:

Auditor to Recommend Reopening of

Incomplete OMI Investigations

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete. Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed eleven of the twenty-two OMI investigations of citizens’ complaints completed between May 16 and August 15, 1998.12 Based on that
review, the auditor has recommend that OMI reopen four investigations
completed during the fourth quarter. These include:

• AQR4-R, a complaint concerning Conduct to the Public which exhibited a burden on the complainant, evident in the investigator’s use of the notation that “No phone number given by complainant” as a reason for not contacting two witnesses listed by the complainant. Further, this investigation included a key witness who was, apparently, important to the investigation, but whom the investigator, apparently, attempted to contact only once, through a letter to the witnesses supervisor. Apparently no follow-up telephone calls were made to attempt to interview the witnesses. The same lack of follow through was apparent with other witnesses, some of whom were discounted because there was no response to a single telephone call—even though no message was left by the investigator.

• AQR4-N, a domestic violence incident in which, apparently, two officers forced their way into the complainant’s home, according to independent witnesses, by threatening to break the door down, after both the parties involved in the dispute had refused the officers access. The fact situation evident from the investigation should have initiated a collateral misconduct investigation to ensure that the officers had adhered to the department’s domestic violence policies and warrantless entry policies. No such

12 See footnote four, above.

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assessment was done. Further, based on the officers’ testimony, the violent portion of the episode was initiated when the officers “grabbed for the telephone” the male homeowner was holding. The investigation failed to inquire as to the reasons the officers would take such an action, and failed to assess if such a decision and command were reasonable, given the fact situation.

• AQR4-U, which involved allegations of false arrest and excessive force. The compliant was filed more than 90 days after the event, and the investigation was “unfounded,” with the Office citing the working agreement between the Union and the City. Both officers refused to give statements. The allegation of false arrest is certainly one that “could” lead to criminal charges, depending on the reasons the officers had for entering the complainant’s home without a warrant. The investigation includes no assessment of the potential for criminal charges, and simply adheres to the “90 day rule.”

• AQR4-S, which is another “90 day rule” case in which the original complaint was one of false arrest and verbal abuse. Although no difficulties were apparent in the investigation of the illegal detention, credible evidence exists to suggest that there may have been an illegal arrest made by Bureau officers. An independent witness informed OMI investigators that, despite knowing that they had the wrong individual, one insisted that the complainant be arrested on a discretionary charge of disorderly.” Despite repeated warnings from fellow officers that the complainant was not the suspect they sought the officer persisted, citing the complainant for disorderly conduct. Further, it appears from the record in the case that potential collateral misconduct occurred during the investigation as officers all denied using profanity with the suspect, yet an independent witness quoted one of the Bureau officers as referring to the suspect, to his face, as an “asshole.” Despite this contradiction, no investigation was conducted by OMI into the potential allegation of untruthfulness.

2.63 Compliance with Task 73: City to Prepare Progress Reports

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter. The first report was issued July 11, 1997; the second was issued January 16, 1998. The third was issued in July, 1998.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
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2.64 Compliance with Task 74: City to Maintain Records Necessary

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 requires the City to maintain all records necessary to document their compliance with all terms of this decree. Further, it requires the City to maintain records required by or developed under this decree.

Methodology

The auditor asked for all pertinent copies of records required to document compliance with the decree, and received same in a timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.65 Compliance with Task 75: Unrestricted Access for Auditor

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 75 requires the City to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto. Further, access to all staff and facilities as needed to effectively monitor the decree is also required.
Methodology
During the course of development of the first Auditor’s Quarterly Report, the auditor made dozens of specific requests of the City, OMI and the Pittsburgh Bureau of Police. All requests were responded to in a professional and timely manner.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76: Unrestricted Access for Justice

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 76 requires the City to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree. Further it requires access to staff and facilities upon appropriate notice.

Methodology

During the course of the implementation of this decree, the Department of Justice has made numerous requests for information, data and access. These requests have always been honored.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.67 Compliance with Task 77: Copies of Consent Decree to All Officers

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 77 of the decree requires the City to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations. All such individuals are further required to sign
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a statement indicating that they have received, read and understand the statement. The City is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the City acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video13. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the City’s approach to compliance. Currently, the department has trained all current active-duty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.68 Compliance with Task 78: 90 Day Timeline for Conformance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree.
Methodology
Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the EWS. The City is currently in primary compliance with 100 percent of the 7414

13 Officers on extended leave and who are otherwise excused for duty for extended periods of time have not viewed the video, nor have they signed the statement of understanding. 14 Two of the 76 tasks in the decree accrue to the auditor.
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provisions to which the City should have complied by now. The City is in secondary compliance with 48 of the 74 provisions due as of August 15, 1998. It is also in operational compliance with 43 of the 74 tasks, due as of August 15, 1998.15
15 The auditor was unable to audit four secondary compliance statistics and five operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., no promotions during the quarter or no completed disciplinary action reports during the quarter, etc.
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3.0 Summary
The City, the Bureau and the Office of Municipal Investigations have improved compliance with the elements of the consent decree during the last quarter. They have continued to take a professional approach towards the decree, insisting on complying with both the letter and the spirit of the decree, and moving with deliberate speed to ensure compliance. All of the auditor’s request for information have been responded to with rapid compliance, and the routine response of the City to the auditor’s suggestions has been to implement them enthusiastically. The City has recorded a primary compliance rate of 100 percent, and an overall compliance rate of 62 percent.16 While a substantial amount of work remains to be done—particularly in the training area and with the EWS and the automated support provided by this system—the City is making steady progress toward complete compliance.
16 The auditor was unable to audit five operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., no promotions during the quarter or no completed disciplinary action reports during the quarter, etc. Thus, the auditor found the City in operational compliance with 43 of the 69 tasks which could be audited this quarter.
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 Auditor’s Fifth Quarterly Report Quarter Ending November 16, 1998

Page 1

1 Introduction
This document represents the fifth of an anticipated 20 “Auditor’s Quarterly Reports” (AQR) assessing the levels of compliance of the City of Pittsburgh (City) with the requirements of the consent decree (decree) entered into between the City and the United States Department of Justice (Justice) on April 16, 1997. The document consists of three sections, identified below:
• Introduction; • Compliance Assessment; and • Summary.
The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of “compliance” are described in Section One, “Introduction.” Section Two, “Compliance Assessment,” includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, “Summary” provides an overall assessment of the City’s performance for this quarter.
1.1 Overall Status assessment
1.1.2 Dates of Project Deliverables
Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the City; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.
1.2 Format for Compliance Assessment
The AQR is organized to be congruent with the structure of the consent decree. It reports on the City’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated “early warning system” (EWS). The following components of the decree are treated similarly. For each section of the decree, a graphic representation of the City’s compliance status is presented. The graphic is

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designed as follows. The “label” depicts the start date for the City’s compliance

actions (almost always April 16, 1997). The blue bar, below the label,

depicts the time allotted, by the decree, for the City to comply with the decree.

The light blue, yellow, orange or red bars, below the blue bars indicate the time

expired since the start date. The vertically patterned light blue bars

indicate expired time equal to or less than that allowed by the decree. The

checkered Yellow bars

indicate expired time that is more than that

allowed by the decree, but which, in the judgment of the auditor, does not

seriously threaten the City’s successful compliance with the decree. The

horizontally patterned Orange bars

indicate expired time that is more

than that allowed by the decree, and which, in the judgment of the auditor, may

seriously threaten the City’s successful compliance with the decree. Red bars

indicate expired time which is more than that allowed by the decree, and

which, in the judgment of the auditor does seriously threaten the City’s

successful compliance with the decree.

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Compliance is classified as primary, secondary and “operational,” with the definitions specified in Section 1.4, below.
1.3 Compliance Assessment Processes
1.3.1 Structure of the Task Assessment Process
Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:
• Selection of a random sample, or
• Selecting all available records of that type.
Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.
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The performance of the PBP and the City of Pittsburgh (City) on each task outlined in the consent decree was assessed by the auditor during the quarter ending November 15, 1998. In order to allow time for completion of the report, the auditor completed assessment activities on November 20, 1998.
All determinations of status for the City and the PBP are data-based, and were formed by review of the following types of documents:
• Official PBP documents prepared in the normal course of business; • Official Office of Municipal Investigations (OMI) documents prepared during
the normal course of business; and/or • Electronic documents prepared by the City or components of City government
during the normal course of business.
Where practicable, documentation forming the database for this audit were selected by the auditor and the auditor’s staff directly from PBP, OMI or City files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints were assessed by reviewing OMI files, OMI electronic files, and zone performance files.
1.4 Operational Definition of Compliance
For the purposes of this audit, “compliance” consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to “comply” as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the Bureau.
During this quarter of the decree, the City, the Bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.
Substantial progress has been made during the fifth quarter, including progress in the critical areas of training and crafting systems of documentation of compliance efforts, as well as in development of an operational EWS. In addition, significant progress has been made in the area of OMI operations and management.
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2 Assessment of Compliance
2.1 Methodology
The auditor assessed the City’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and “operational” (see section 1.4, above).

The following sections of the fifth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the City has complied with the 73 tasks to which it agreed on April 16, 1997.
2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the Decree requires the City and the PBP to automate the database tracking system currently in use to track police officer behavior, and to add functionality to the system, transitioning it to an “early warning system” (EWS) which will assist the Bureau in identifying and managing officer behavior which may be problematic.
In order to accomplish this task, the City has formed a “protocol committee,” and charged this committee with responsibility for defining policies, procedures, manual and automated systems, and oversight practices for each of required elements of the EWS. The decree requires development of protocols in the following areas:
• Citizens’ complaints; • Officer-involved shootings; • Criminal investigations of officers; • Civil or administrative claims arising from PBP operations; • Civil claims against the PBP; • Law suits against the PBP; • Warrantless searches by officers; • Use of force by officers; • Traffic stops by officers; and
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• Discretionary charges filed by officers.

The City has completed work on the various protocols designed to serve as policy guidance for the planned Early Warning System.

Further, the City has implemented a supplementary supervisory device, the Supervisor’s Activity Report (and supporting policy and training), which requires supervisors to provide an on-scene presence at selected traffic stops conducted by personnel under their command. The SAR process requires supervisors to exhibit a field presence, assessing the quality of work of patrol officers regarding performance, adherence to policy and procedure, use of equipment, safety practices, communication skills, or exhibition of prohibited bias. Further, the form requires the supervisor to note recommended actions to remedy any deficiencies noted. The auditor has reviewed each of these protocols, and has assessed their viability in sections 2.2-2.6, following.

Methodology

During the site visit for the fifth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.

The City now has a “production” version of the EWS on-line and operational, as of November, 1998. Entry of pre-consent decree information (from September, 1995 forward) has been completed and is accessible through the EWS database. Programming for the EWS is complete, and the database has been “released” for daily use of PBP personnel. Initial and refresher training of PBP supervisors and command personnel has been completed. During the site visit for the fifth quarterly audit, the auditor reviewed the EWS system, and found it to be operational, and capable of reporting on and monitoring the activity of police personnel in the field.

Although some details need to be worked out in order for the system to be fully useful to supervisory personnel (changes in the statistical methodologies used to assess activity levels, for example) the system, as it is currently deployed, is sufficient to allow full implementation of the elements of the decree relating to the EWS. Although the EWS is now fully functional, the Bureau has not yet begun using the system to make management and supervisory decisions, thus the Bureau is found to be in secondary compliance with task 12. This represents a substantial step forward for the City and the Bureau.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: Not in Compliance

Page 6

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-a of the decree requires the City to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.

Methodology

During the site visit for the fifth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.

The City’s EWS is currently on-line, and reports electronically officer status on each of the elements required by the decree. The system is a well-designed, “user-friendly” reporting system that appears to be at the leading edge of the field of officer management software. The Bureau and the City are judged to be in secondary compliance with task 12-a, Assessment of operational compliance cannot come until the EWS has been operational long enough to assess the degree to which supervisory and command personnel actually use the system to review and assess officer activity.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

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2.2.2 Assessing Compliance with Task 12-b: Nature of EWS Retrieval Systems

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-b of the decree requires the City to build into the EWS the ability to retrieve information from the EWS by officer, squad, zone, unit, and the execution of “discretionary arrests.”1

Methodology

During the site visit for the fifth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.

A review of the capabilities of the EWS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. The City and the Bureau are judged to be in secondary compliance with task 12-b. An assessment of operational compliance cannot be conducted until the system has been in place long enough to assess supervisory and command staff use of its capacities.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

1 Defined by the decree as resisting arrest, disorderly, public intoxication, and interfering with the administration of justice.
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Paragraph 12-c of the decree requires the City to archive the records in the EWS for three years after the involved officers’ separation from service, and that all records be archived indefinitely. In addition, it requires the City to enter all relevant data for three years prior to April 16, 1997.

Methodology

During the site visit for the fifth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.

Data retention protocols for the EWS have been established which will meet the requirements of task 12-c. Data entry for the EWS for information related to Bureau activities prior to April 16, 1997 have been completed for all data that could be found which was accurate. In some cases, this does not include all data between April 15, 1995 and April 16, 1998; however, the data that do exist in the EWS are the best available accurate data, based on information obtained from the City, the Bureau and the Computer Information Services department of the City.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-d requires the City to develop a protocol for use of the EWS that would:
• Establish trigger thresholds for review of officer records by senior supervisors; • Establish requirements for frequency of review of officer records by senior
supervisors; • Establish the types of corrective actions to be taken by senior supervisors; • Establish confidentiality and security provisions for the EWS;
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• Establish requirements for quality assurance checks of data input; and • Have the protocol submitted for review 30 days before implementation.

The City has developed protocols for use of the EWS, including those controlling:

• Weapons discharges by a Bureau member; • Citizens complaints; • Civil claims arising from Bureau operations; • Initiation of criminal investigations against Bureau members; • Lawsuits arising from Bureau operations; • Reporting subject resistance incidents; • Trend analysis; • Processing allegations of untruthfulness, racial bias, domestic violence, and
physical force;
• Managing search and seizure activity; and • Reporting and review of traffic stop and arrest data.

These protocols have been reviewed by the auditor, and found to be reasonable and effective responses to the requirements of the consent decree, and in fact, in many cases, to move beyond the requirements of the decree. The protocols also address the supervisory and managerial responses required by those reviewing officers’ actions.

Methodology

During the site visit for the fifth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.

Now that the EWS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the EWS by the consent decree. The operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer behavior, in compliance with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

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2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 13 requires the City to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the City to submit the policy to Justice for approval prior to implementation.
Methodology
The auditor has reviewed the PBP’s use of force policy, which was completed prior to the deadline, and has assessed the policy for conformance to national standards and applicable law. The newly drafted policy, effective August 15, 1997 is well written, and is designed to allow the Bureau to control effectively the use of force by the Bureau’s officers.
Promulgation of the policy and the necessary training to implement it have been completed. Reporting and supervisory review processes have been implemented, and the Bureau’s Subject Resistance Reports have been developed, disseminated, and implemented, and are currently being completed by PBP personnel.
Further, the auditor conducted a thorough review of a 10 percent sample of Subject Resistance Reports completed by PBP personnel during the quarter. This quarter’s review of the SRRs indicates a slight decline in the level of performance by the Bureau in reporting and analyzing police use of force. This is true for at least two reasons:
• First, in two of the reports, force was used but reported erroneously in the “Level of Control Used” section. The first reporting error occurred in Zone 1, with an officer reporting in the narrative the use of OC spray, but failing to indicate in the “Level of Control Used” section that OC spray was used. The second reporting error, also in Zone 1, reported the use of a palm strike in the narrative, but not in the “Level of Control Used” section. The third reporting error listed an injury (“Yes” and “cuts to wrists and left ankle”), but no treatment modality.
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• Second, supervisory review appears to have slipped somewhat. In both of the reporting incidents described above. For example, the supervisory personnel signed off on the SRR without noting the disparity between the narrative and the “Level of Control Used” sections. None of the three levels of command review noted the disparity. The same was true of the review of the SRR reporting an injury, but no treatment. This, too, slipped past the command review at Zone 6.

Other factors indicate that the monitoring of use of force a the Bureau is taken seriously.

• The SRR forms continue to indicate an active supervisory presence on the street, where use of force generally occurs;

• Second, the files reviewed continue to indicate an apparent under-use of force on the part of the officers of the PBP, e.g., multiple instances in which the articulable facts supported higher levels of police force than was used.

The failure of supervisory and command review is serious. It has occurred, however, in only two of more than 63 SRR reports reviewed, and remains within the 95 percent compliance rate required for the use of force monitoring process.

Continued problems in this area, however, should be monitored closely by the Bureau.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 14 requires the City to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in
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conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.

Methodology

The auditor has reviewed PBP policy 45-1, “Strip and Body Cavity Searches.” The policy conforms to all requirements of the decree, and was promulgated and effective November 10, 1997. A review of the training records of the Bureau indicates that the department has trained 1302 of its officers in search and seizure topics, including strip search and body cavity searches. This equates to 95.8 percent of those officers not on extended leave or other non-duty status with the department. In addition, the auditor has reviewed a random selection of 47 completed “Field Contact/Search/Seizure Report” forms generated between August 16 and November 15, 1998. None of those reports documented a strip search during the quarter. It is clear that the Bureau also has review processes in effect for its FCSSR forms. Documentation provided to the auditor indicates that the Bureau’s review process identified, and took remedial action on, a strip search conducted in violation of Bureau policies controlling search of persons (PO 45-1).

Based on the existence of the policy, the 95 percent training rate, and evidence of effective control and review, the Bureau is judged to be in operational compliance with the requirements of task 14.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions

PRIMARY SECONDARY OPERATIONAL

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

Paragraph 15 requires the City to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
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The City has conformed to paragraph 15 through development of several related policies, each of which requires a written report any time a police officer performs any of the above-listed actions. In addition, these protocols are supported by specific policies (12-6, Use of Force, 45-2 Warrantless Searches and Seizures, and 45-1 Strip and Body Cavity Searches). Each of these policies stipulates specific reporting procedures which are in conformance with the requirements of the decree, c.f., 12-6 @ 6.6, 45-1 @ 5.1, and 45-2 @ 3.1. The Department of Justice has approved these protocols viz a viz the decree (Use of Force on August 4, 1997 and Search and Seizure on November 10, 1997) based on the City’s submission on July 16, 1997. The Search and Seizure protocol approval was delayed by discussion between the City and Justice regarding specific provisions.
Methodology
The auditor reviewed training records for search and seizure and use of force topics. In addition, a randomly selected 10 percent sample of Subject Resistance Reports and Field Contact/Search/Seizure Reports was reviewed to assess the level of accuracy of reporting and supervisory review for these reports. A total of 63 SRRs (based on 29 incidents) was selected for review. A total of 47 FCSSRs was selected for review.
Training regarding Use of Force reporting was completed during last quarter, and the reporting forms and guidelines have been implemented. Subject Resistance Reports are being processed by the department, and the day-to-day operation of controlling use of force by PBP officers appears to moving forward appropriately.
During this quarter, training for “all officers” in search and seizure policies has been substantially completed. As of November 17, 1998, 1,034 of the Bureau’s 1,080 active-duty officers, 95.8 percent, had been trained in search and seizure policies. All 1,302 received a passing score on the content examination given by the training academy.
A review of the SRRs indicated that these reports are being reviewed by command personnel within seven days, as required by the decree. With two notable exceptions, all 63 reports were accurately completed (see section 2.8, below).
A review of the FCSSRs indicated that the Bureau still has some work to do to bring reporting and review into compliance with the decree. Of the 47 reports reviewed, 14 contained some form of error. Of these, eight contained reporting errors, such as failure to check “yes” or “no” in the Section B or Section C headers. One contained a misclassification of the type of search (plain view
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instead of consent and plain view). Two were not reviewed by command within seven days, and one contained a narrative that did not support the initial contact with a sufficient reason to suspect criminal activity, noting instead that the suspect was “acting suspicious by sitting against” a parked vehicle. Supervisory and command personnel did not, apparently, trigger on this lack of credible evidence to suspect criminal activity.

Status:

Primary: In Compliance Secondary: Not In Compliance Operational: Not in Compliance

2.6 Assessing Compliance with Task 16: Reporting Traffic Stops

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 16 requires the City to establish reporting requirements each time a police officer makes a traffic stop. The City has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. Reporting practices for traffic stops are currently under negotiation between the City and Justice, and awaiting finalization prior to promulgation. The Bureau has begun collecting traffic stop data, using the form designed by the City. These data are available at the Zones, and have been entered into the EWS. Assessment of traffic stop reporting will be conducted by the auditor using the EWS during next quarter’s audit period. The EWS system has not been in place and operational for a sufficient period of time to allow the electronic audit of traffic stop information this quarter.

Status:

Primary: In Compliance2 Secondary: In Compliance Operational: Not in Compliance

2 The City submitted the required protocol in a timely fashion. On-going negotiations between the City and Justice are currently underway.
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2.7 Assessing Compliance with Task 17: Entry of Data into the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 17 requires the City to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The City has developed protocols requiring such entry. The automated EWS has begun accepting data on police use of force and searches, and traffic stops are currently being entered into the system, as well. Data entry for pre-decree activities has been completed, although some data were not available, or were deemed inaccurate, and thus were not entered into the system. All pre-1998 data that were available and considered accurate have been entered into the EWS system, and are included in that system’s reports processes.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8 Assessing Compliance with Task 18: Audits of Use of Force

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 18 requires the City to cause supervisors and senior supervisors to conduct “regular audits” of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.
Methodology
The audit team conducted a random selection of 29 incidents resulting in the completion of “Subject Resistance Reports” (a ten percent sample of incidents for this quarter). The policy requires PBP officers to complete a SRR any time they use force to subdue a subject. Each of the reports selected was reviewed to ensure that the:
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• Form was properly executed; • Form was reviewed by supervisors and senior supervisors within one week; • Supervisory review identifies problems with the use of force, where
appropriate; and • The review process is being implemented as required by the decree.
The results of the review indicate that the City is in primary compliance with the requirement of the decree: the policy regarding use of force reporting has been written and disseminated; the forms are being completed and reviewed; the forms are being forwarded to the training academy and to the administration division; and the forms are being filed as would be expected.
In addition, the City is in secondary compliance with the requirements of this section of the decree. Training on use of the SRR form has been completed, and the vast majority of SRRs are properly completed and reviewed. Of the 29 SRR incidents reviewed, all reports from those incidents were reviewed by the chain of command within seven days, as required by section 18-a of the decree.
One serious flaw with the review process did arise, this quarter, however. Of the 63 reports reviewed by the auditor—generated by the 29 incidents selected for review—two had errors in the reporting process that were not noted by the command level review provided by the department. Although the command level reviews were timely, they twice failed to note errors in reporting use of force by PBP officers.
Two reviews missed reporting errors in officers’ SRRs. Both errors occurred in Zone 1 reviews. The first review missed an SRR narrative that reported a palm strike, but failed to note a palm strike in the “Level of Control Used” section of the SRR. The failure was compounded through all three levels of review at Zone 1. The second error was similar, but centered around the reported use of OC spray in the narrative, which was omitted from the “Level of Control Used” section of the SRR. This too was compounded through all three levels of review at Zone 1.1.
These errors are serious, but they included only two of a total of 63 SRRs reviewed as a result of the 29 incidents sampled. The error rate is not high enough (three percent) to cause the department to fail to gain compliance with the requirements of task 18. The Bureau should reemphasize the importance of a careful review of the SRRs to ensure that its operational compliance levels remain high.
The Bureau has met the requirements for operational compliance with use of force reporting and review, scoring a 96.9 percent compliance rate for reporting
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Page 17

and review. In addition, a review of completed OMI investigations this quarter indicated that all citizens’ complaints regarding inappropriate use of force included a completed SRR filed, as required, by the officer.

In addition, the City is currently assessing Section 18-a of the consent decree, which requires an OMI investigation of use-of-force incidents which result in “serious injury,” which is defined (at 11-f of the decree) as “any injury that results in death or that the City has reason to know requires or results in professional medical care or treatment” (Decree, p. 5). Only five of the SRR incidents reviewed by the auditor indicated that the subject arrested received medical attention at hospital. OMI selected each of the injury-related SRRs for initiation of investigations this quarter. Currently, the City is working to resolve this implementation issue. The potential re-interpretation of “serious injury” has been referred to the City Solicitor’s Office and the Department of Justice. Until this area of the decree is better-defined, however, the current working definition established by the decree was used to assess compliance.

Status:

Primary: In Compliance
Secondary: In Compliance Operational: Not in Compliance3

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. While the EWS has been brought on-line this quarter, it has not been operational long enough for the Bureau to have begun making managerial and supervisory decisions based on information included in the EWS database. No quarterly analyses of use of force has been conducted using the EWS database. The Bureau has, however, completed all of the necessary policies, training, and system development processes to allow such assessments to be made. The

3 Attainment of operational compliance for this task will require resolution of the “serious injury-” OMI investigation issue.
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Bureau is judged to be in secondary compliance with the requirements of task 18-b.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY
OPERATIONAL
Paragraph 19-a requires the City to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.
Methodology
A 100 percent sample of completed “Field Contact/Search/Seizure Reports” (FCSSRs) was assessed for activity levels and the rate at which searches resulted in seizures. The Bureau began processing FCSSRs in June, 1998. During the fifth quarter, 484 FCSSRs have been processed by the Bureau. In addition, a random sample of 47 FCSSRs completed during the fifth quarter was selected and analyzed to ensure the reports met the requirements of task 19-a.
Further, each of the 47 selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the 47 reports was assessed, and supporting documentation, where available, was reviewed. One incident of a search or seizure was noted in which the officer’s narrative failed to support the search-intervention.4 Additionally, the reports were assessed for completeness and accuracy. Of the 47 reports reviewed, 14 were deemed to be problematic. Of these, eight failed to check the appropriate box in header B or C of the FCSSR. One misclassified the type of search performed, and two were not

4 The officer noted that the suspect was “acting suspicious by leaning against” a parked car. The supervisory and command review failed to not the paucity of support for the intervention, and approved the report.
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reviewed by command within seven days. An overall error rate of 29.7 percent, obviously, precludes a finding of secondary (review) operational (day-to-day) compliance for the requirements of task 19-a.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-b requires the City to analyze the search and seizure activity of its officers on a quarterly basis. The protocols and policies for search and seizure reporting have been completed, and training and implementation are completed. The EWS is now operational, but, unfortunately, has not been operational long enough for the Bureau to have begun making quarterly assessments of search and seizure activities of its officers. The Bureau is judged to be in secondary compliance with the requirements of task 19-b.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-a requires the City to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The Bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.
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Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial bias. During the fifth quarter, no allegations of racial bias were lodged with OMI. During the fourth quarter, however, three were found that were investigated between May 16 and August 15, 1998: AQR4-E, AQR4-J, and AQR4-P. Of these three, one was sustained. The single sustained complaint alleging racial bias was reviewed by the officer’s chain of command within seven days of receipt of notice of the sustained finding from OMI. Appropriate disciplinary action was taken in this case (suspension). The Bureau is judged to be in operational compliance with the requirements of task 20-a.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias

Apr 97 Q1

Q2

Q3

Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-b requires supervisors to use the EWS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. While the EWS is operational, it has not been available to Bureau personnel over a period time sufficient to allow quarterly analysis of racial bias. Data exist; policies are in place, and the necessary training regarding the use of the EWS has been accomplished. However, since the EWS has not been operational long enough to allow the first quarterly analysis of allegations of racial bias, the auditor was unable to audit for secondary or primary compliance. The Bureau is judged to be in primary compliance with the requirements of task 20-b.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

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2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 21-a requires the City to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a three-year period, or five or more complaints in a two-year period.

Methodology

Based on records provided by the Bureau, nine individual disciplinary actions were taken by the Bureau during the period of time covered by this report. While the Office of Municipal Investigations has sustained eight citizens’ complaints during this previous quarter, the investigations were all completed near the end of the quarter. Disciplinary actions for those offenses were taken during this quarter. The auditor reviewed all disciplinary action reported for the fifth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline. In addition, a complete review was conducted of all personnel files at Zone 5. Of the 124 files reviewed (a 100 percent sample), three were found which indicated three or more complaints in the same year, yet, based on the files, no action was taken by the Bureau. The same review noted at least one officer with as many as nine complaints in a two-year period, again with no action noted by the Bureau. While these omissions are serious, they represent only three of 124 officers, thus the Bureau remains in compliance at the 97 percent level.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 21-b requires the City to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on reviews of officer behavior.
Methodology
The auditor reviewed the Bureau’s disciplinary processes for the period from August 16, 1998 to November 15, 1998. While the Office of Municipal Investigations has sustained one citizens’ complaint during this quarter, the investigation was completed near the end of the quarter, and as of this writing, no disciplinary action has been assigned for this sustained complaint. The Bureau has, however, taken disciplinary actions on citizens’ complaints sustained last quarter. The auditor has reviewed disciplinary action reports (DARs) for sustained complaints from last quarter. Each of those complaints received appropriate discipline, based on the offenses alleged and sustained. For example, departmental discipline included:
• A one-day suspension for off-duty conduct unbecoming an officer; • Termination for commission of a felony; • A five-days suspension pending termination for theft; • Counseling, retraining, and mandatory counseling for inappropriate use of
force; • Suspension, demotion and transfer for DUI.
Based on the protocols of progressive discipline, the Bureau is responding within its anticipated range of responses in delivering discipline.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.11.2 Compliance with Task 21-c: Consider Prior Record in Determining Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 21-c requires the City to consider an officer’s prior record in determining discipline.

Methodology

According to records provided by the Bureau and the Office of Municipal Investigations, several individual disciplinary actions were taken by the Bureau this quarter. Each of the disciplinary actions taken by the Bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. At least one disciplinary action was modified in light of the officer’s prior record.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 22 requires the PBP to establish disciplinary action files, or “performance files” at the zone level.
Methodology
The auditor’s team changed its audit process this quarter. Instead of randomly sampling officers’ performance files at selected zones, a complete sample was taken of one zone, Zone 5. Every performance file at the zone was reviewed for completeness. This review included:
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• Officer’s Name; • Discipline Imposed; • OMI File Number; and • A Description of Factors Considered.
In addition, the auditor’s team assessed the same officers’ files in the OMI database, to assess the level of accuracy of the zone files.
As with the requirement to assess use of force issues, the Bureau is in primary compliance with the stipulation of task 22: A series of chief’s orders has been promulgated (97-009 and 97-024), establishing a requirement for zone commanders to maintain “performance files” which conform to the requirements of the consent decree.
An assessment of the zones’ performance on this task indicates that the Bureau is also in secondary with this task: systems for developing, transferring, disseminating, filing and managing officers’ performance files have been developed. Operational compliance at Zone 5, however, was not achieved. Of the 124 officers’ files at the zone, 40 were found to be inaccurate, an error rate of 32%. Some officers had as many as four OMI complaints missing from their files, and the vast majority of missing complaints were 1998 complaints. Three of the officers missing 1998 complaints from their files had three (or more) complaints in the same year (1998), and as many as nine complaints in two years.
These omissions are serious, showing a break down of the zone performance file system at one zone. While some 1998 OMI complaints were present in some officers’ files, the vast majority of OMI complaint information for 1998 appears not to be present in the performance files at Zone 5. The importance of the zone performance file system is lessened by the newly deployed EWS, and this is the first time in three quarters that significant errors have been noted in the performance file system. This lack of 1998 performance file data is a continuation of problems noted in the last quarterly report with filing and use of “performance” data. Again this quarter, the audit has found three officers of 124 with five or more complaints in the past two years. At least two officers from Zone 5 have six and nine complaints, respectively, in the past two years, and no notice is made in the officers’ files.
These errors are serious enough to warrant immediate and extensive attention by the Bureau. While they are apparently problematic in only one zone, continued problems in this area will call into question the efficacy of the progressive discipline process and supervisory processes at the zones.
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Public Management Resources San Antonio, Texas

Status:

Primary: In compliance Secondary: In Compliance Operational: Not In Compliance

Page 25

2.13 Compliance with Task 23: Annual Performance Evaluation

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 23 requires the City to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

The Bureau has developed a performance evaluation policy which meets the requirements of the decree, and which was approved and disseminated in April, 1998. Training regarding the performance evaluation system was completed by May 16 for all personnel except three officers who were on leave. The first wave of performance evaluations has been completed. The Bureau promoted 17 individuals during the last quarter, and each of their performance evaluations was reviewed. No remarks, actions or characteristics were found in any of the 17 files that would have indicated inappropriate decisions were made in any of the promotions. Based on the documents reviewed, it appears that the Bureau continues to be in compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Paragraph 24 requires the City to use performance evaluations as a factor in promotional decisions.

Methodology

The Bureau has developed a performance evaluation policy which meets to meet the requirements of the decree, and the policy was implemented in June, 1998. The Bureau promoted 17 individuals during the last quarter, and each of their performance evaluations was reviewed. No remarks, actions or characteristics were found in any of the 17 files that would have indicated inappropriate decisions were made in any of the promotions.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 25 requires the City to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.
Methodology
The auditor’s team visited one randomly selected unit location (Zone 5) to assess the degree of compliance with paragraph 25. During the site visit, the auditor reviewed zone performance files, and conducted walk through inspections of zone facilities such as bulletin boards and office space.
Evidence exists to support the Bureau’s operational compliance with paragraph 25. The review of zone “performance files” indicates that the EAP is being used by departmental personnel and departmental managers. The counselors assigned to the EAP were interviewed during the first quarter by the auditor’s staff, and appear to be both experienced and knowledgeable concerning EAP
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practice and standards. It appears that EAP participation is non-retributive and meets established practice for such programs.

Departmental policy requires the posting of EAP flyers at each of the zone stations, at the zone visited, the flyers were readily visible in the station.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.16 Compliance with Task 26: Notification of Adverse Involvement

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SOEPCEORNATDIAORNYAL

Paragraph 26 requires the City to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the City to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

During the auditor’s review of departmental personnel files, the files were assessed for evidence of implementation of PBP Policy 44-5, effective 8-25-97, which requires notification of the chain of command any time:

• A warrant is to be served on a member of the service; • A protective order is to be served on a member of the service; • An on-scene arrest is made of a member of the service; • An officer is arrested by another agency other than the PBP; or • An officer of the service is the subject of a civil suit.

The PBP has received notice of a pending civil case during this quarter (dated September 9, 1998). No settled litigation was noted during the quarter. The Bureau remains in compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

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2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
Secondary
Operational
Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the Bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.

Methodology

A review of records available during the time frame of the fifth quarterly audit indicated no criminal proceedings in progress against PBP officers; however, the Bureau has established an agreement with the District Attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel.5 Further refinement of this process is anticipated. Current plans call for the City to monitor court cases for criminal charges which are dismissed because of illegal searches or other illegal activity on the part of the police. In such events, OMI would, based on the dismissal, initiate an investigation of the officer’s actions.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.18 Compliance with Task 28: Settled Litigation

Sanctions for Officers Involved in

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY Operational Secondary

5 Anticipated criminal proceedings are expected against at least one officer during the next quarter. This officer was arrested by the Bureau during the fourth quarter, and criminal charges are expected.
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Page 29

Paragraph 28 requires the City to implement appropriate discipline “as the circumstances and OMI investigation warrant,” in all instances in which PBP officers are the subject of civil litigation.

Methodology

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation. During the third quarterly audit, the department received notification of settled litigation involving five Bureau officers. A review of the files indicates that the department provided mandatory counseling, from the Bureau legal advisor, for all five officers over topics related to the issues in the settled cases. In addition, one officer received a six-month suspension of permission to work secondary details. A third officer was given, in addition to a mandatory counseling session with the legal advisor, a copy of the settlement documents “as an experience tool.” No notice of settled litigation was received during the fifth quarter. It is clear from the review that the department continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY

Paragraph 29 requires the City to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.
Methodology
The auditor interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for
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the Bureau, publishing legal bulletins, four during this quarter, and providing inservice training for Bureau officers. In addition, the legal advisor has been involved in mandatory counseling of one officer who was the subject of a sustained citizen’s complaint during the last quarter. The Bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.20 Compliance with Task 30: Develop a Rotation Schedule

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP has developed a personnel rotation plan, and has implemented the first phase of the plan during the second quarter. The plan, supported by Chief’s Memo 97-550, has transferred 91 officers to other assignments through January 1, 1998. Additional officers continue to be transferred as part of this rotation policy, with the next round of transfers which occurred in June, 1998 (and ordered by the Chief of Police in May, 1998).

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 31 requires the PBP to “make every effort” to participate in community meetings, including those oriented toward minority groups.

Methodology

The auditor reviewed monthly attendance logs for police zones for the months of August 16, through November 15, 1998. The logs show multiple community meetings attended by PBP personnel, although the volume of meetings is reduced, presumably due to the fact that community meetings are more sparse during the summer months. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the City to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.
Methodology
The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. For the last two quarters, the City has developed and aired (on average eight times daily) on the City’s public access cable channel a professionally created video tape explaining OMI’s function in investigating complaints of alleged misconduct against City employees. The video covers all important aspects of the internal investigations process, and according to the City, reaches 105,000 households throughout the Pittsburgh area. Based on 2.7 residents per household (a national average), the video is reaching nearly all of Pittsburgh’s residents. The City is currently working with major television networks in the Pittsburgh area to carry Public Service Announcement regarding
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the OMI process. The City has also printed a brochure explaining the OMI function and has distributed the brochure to all of the City’s community organizations and placed these brochures in all City buildings.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 33 requires the City to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.
Methodology
The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted a site-visit of the training academy, and have interviewed many of the personnel assigned to the training academy. The Bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Through November, 1998, the Bureau has continued to train its officers in the topics of cultural diversity, “effective communication” and ethics. To date, according to the Training Academy’s records, more than 99 percent (1,076) of the department’s 1,0806 currentlyworking7 officers have received training in cultural diversity.
More importantly, perhaps, the department is currently engaged in a reengineering effort for its cultural diversity program. The revised curriculum for this topic is being developed by a Cultural Diversity Task Force Team, which will
6 The Academy’s training records appear to have been cleared of retired, terminated, and deceased officers, bringing the total number of employees in the training database to 1,099.
7 A total of 19 PBP officers are carried on extended leave or other non-functional status, as of November 15, 1998 when these training records were generated, leaving 1,080 of the PBP’s 1,099 officers eligible for cultural diversity training.
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assist the training academy in developing the new curriculum. Research for the revised training curriculum is complete, and entails a careful analysis of demographics, linguistics, process and impact of diversity. This is exactly the nature of the processes identified as needed for operational compliance—moving beyond mere “letter of the law” compliance to a process of critically assessing the impact of tasks on the policing environment.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 34 requires the City to establish monitoring systems which will assess citizens complaints for indicators of needs in training or re-training. The Bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.

Methodology

In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports.

It is clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. While the EWS is now operational, it has not been operational long enough for the command staff to have begun the process of using it to assess training needs.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance
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Page 34

2.25 Compliance with Task 35: Training in Verbal De-Escalation

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 35 requires the City to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de-escalation training “into all other training that implicates the use of force.”

Methodology

While the City and the Bureau continue to make progress toward compliance with this task, no new milestones have been met this quarter. The City is currently under contract with a nationally recognized consultant to deliver a series of classes on “verbal judo,” a process of verbal de-escalation which is recognized nationally as effective in reducing police-involved violence. To date, the Bureau has trained 179 of its 1,080 eligible officers in “verbal judo.”

The Bureau-wide process of reviewing all use-of-force curricula is currently underway, in a joint program between the City Law Department and the Bureau of Police. One staff attorney from the City Solicitor’s office is working with Training Academy staff to develop a comprehensive review of the PBP’s training curriculum with respect to use of force training. The goal is development of a five-year training plan and a revision/rewrite of all aspects of the curriculum which entail police use of force—or avoidance thereof. No product has been developed as of this writing.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 35

Paragraph 36 requires the City to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation “at the beginning of the training curriculum to serve as a foundation for all other classes.” No recruits were trained in the fifth quarter. The last recruit class offered by the PBP ran from May 19, 1997 through October 24, 1997. The recruit curriculum offered “ethics” training in weeks three and four, human relations skills in weeks four and five, multi-cultural training in week six. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree. No new recruit classes have been offered since October, 1997, thus no additional audit of the recruit training curriculum was possible.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 37 requires the City to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.
Methodology
The auditor has reviewed the Bureau’s curriculum outlines for cultural diversity and ethics. In addition, the auditor has reviewed other curriculum components which he asked to be forwarded for review. The Academy’s maintenance of training records for non-mandatory training has been substantially updated since the third quarterly report. According to academy records, all but 33 of the departments 1,0808 eligible personnel (97 percent) have received training in ethics.

8 The Academy’s training records appear to have been cleared of retired officers, terminated officers, and deceased officers, bringing the total number of employees in the database to 1,080 currently working officers, and 19 officers on extended leave or other non-functional assignments.
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Page 36

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 38 requires the City to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

The auditor assessed primary steps necessary to complete the tasks required by this paragraph. The Bureau has completed work on a script for a training video; the script has passed legal review, and the initial taping has been completed. An initial session was presented by the OMI manager to recruits. The training of “all officers” in the OMI complaint process has begun, using a video tape, a training syllabus and an associated examination. Based on a review of the training records, the department has trained approximately 75 percent of its officers in the OMI process. Status of the training across units is depicted below.

Departmental Unit Training Academy Administration Services COPS Investigations SDD Zone 1 Zone 2 Zone 3 Zone 4 Zone 5 Zone 6

Percentage 77% 67% 03% 38% 88% 01% 97% 93% 67% 93% 79% 74%

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Only one of the individual units, Zone 1, has achieved 95 percent or higher training levels.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.29 Compliance with Task 39:

Encourage Qualified FTO

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 39 requires the city to recruit “highly qualified” Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the City to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.
Methodology
During the first quarterly report, the auditor selected slightly more than a 50 percent sample of the 25 newly appointed FTOs selected by the Bureau for its new recruits. Each of the 13 records selected was screened for poor disciplinary record, complaint history, and past performance. Given the Bureau’s delay in implementing paragraph 23 (performance evaluations) these evaluations could not be used in selecting the FTOs appointed in July, 1997; however, recent reevaluations of FTO performance included performance evaluations in the evaluation packet.
The auditor found all of the 13 officers’ files to be reflective of police careers that would recommend a role as an FTO. The field training officers’ records were clean of any civilian complaints that would require disqualification as an FTO. No new FTOs were appointed during the fourth quarter.
In addition, the auditor pulled a random sample of 15 PBP instructors’ files to assess completeness, accuracy, and conformance to established standards. Further, the auditor checked each instructor who taught at the Academy during the second quarter to ensure that they were certified to teach the subjects they taught during the quarter. Each file checked was complete, accurate, and
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Page 38

organized as one would expect. All instructors checked were certified by the state—or other certifying agency—to teach the topics they were assigned.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40:

Train all FTOs and Instructors

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 40 requires the City to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the City require FTOs and instructors to “demonstrate on a regular basis, their proficiency in their areas of instruction.”
Methodology
The auditor reviewed the training curriculum for FTOs and instructors provided through contract for the PBP. All instructors and FTOs are first “instructor development certified” by either the Federal Bureau of Investigation or Indiana University-Pennsylvania. FTOs then receive an additional five days of training at the PBP Academy for specific FTO-related topics. The specific provisions of paragraph 40 requires “demonstration on a regular basis…[of] proficiency in their areas of instruction.” The Police Bureau requires a formal assessment, using two forms specifically designed for evaluation, of the FTOs. The first (“Field Training and Evaluation Program—FTO Critique Form) is a two-page evaluation completed by field trainees. The form evaluates FTOs relative to the trainees’ assessment of the FTO’s ability, interest, knowledge, skill, ability to communicate, and fairness. The aggregate data collected through this process is shared with the FTO by the Academy commander. In addition, the PBP assesses FTOs by requiring their supervisors to complete an evaluation form (Field Training and Evaluation Program—FTS Critique Form). This form requires supervisors to rate FTOs on their skill as a trainer, their ability to communicate, their fairness, promptness, and attendance. These data as well are shared with the FTO.
In addition, the Academy has begun a process of testing for all consent-decree and state mandated training classes. The Academy evaluates instructor
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Page 39

proficiency through these test scores, assuming that effective instructors produce students who can pass Bureau and State exams. The process of testing for all consent decree-related training is relatively new; however, during the fourth quarter, more than 1,000 exam scores were reviewed by the auditor. The vast majority of test scores of PBP personnel were in the 85-100 range (of a possible 100). The examinations that the auditor reviewed indicated a close correlation between the instructor’s syllabus and the exams. Further, a review of the examinations indicated that they are substantive and not, on their face, overly simple or easy to pass.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 41 requires the City to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”
Methodology
The auditor conducted a thorough second-quarter review of the Academy’s training records during a site visit to the Academy. Selected training curricula were assessed, and specific documents were selected for further analysis. This included training records for state-mandated and consent decree-related training. These records now appear to be up to date and complete. The records are kept in useable format, and are managed by a sworn officer, adept in manipulation of the database, and capable of generating ad hoc reports. The records currently can generate reports by officer, training topic, hours, date and test score.
Changes to the Academy’s record-keeping processes are relatively new; however, this quarter’s assessment shows the records to be free from error, and to exhibit a “living” quality, i.e., they are updated frequently, and subjected to error checking and correction processes. The Bureau continues to be in compliance with this task.
Auditor’s Fifth Quarterly Report December, 1998
Public Management Resources San Antonio, Texas

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

Page 40

2.32 Compliance with Task 42:

Document Mandatory Counselings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 42 requires the City to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of data for the fifth quarterly report, the department’s centralized file which is used to document mandatory counselings was reviewed. One record was found which had required a mandatory counseling for a PBP officer. This mandatory counseling session was related to a use of force issue. The session was designed to avoid future incidents.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Training

Annual Supervisory and Leadership

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 41

Paragraph 43 requires the City to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors The Bureau continues to move forward with training for its senior supervisors. All supervisors have received the updated ethics training being designed by the Bureau. Test scores for senior supervisors average in the high 80s.

It appears, from the records available at this time, that a majority of all senior supervisors have been trained at Pennsylvania State University’s “POLEX” command staff training program. An in-service component on “ethics” has been developed, and all senior supervisors have received this updated training.

The Bureau continues to avail itself of annual in-service training for command personnel, with topics including cultural diversity, ethics, and command accountability, although some topics are not received annually by all command personnel.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.34 Compliance with Task 44: OMI Quality Assurance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 44 requires the City to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.
Methodology
The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed
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Page 42

OMI personnel as they worked with the databases, and reviewed output from the databases.

Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available for OMI investigations from 1986 through 1997. Using this database, records of complaints for individual officers can be easily identified; however, assessment of complaint history on a routine basis, for all officers, is cumbersome and difficult.9 This database will be replaced by those planned for the EWS when it comes on line.

Further, this paragraph requires that OMI prepare complaint histories from the Early Warning System. While the EWS is on-line, OMI staff have not been trained in the use of the system, and thus cannot be in compliance with this aspect of task 44. The Office anticipates that all OMI staff will be EWS-trained by the end of next quarter.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 45 requires the City to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.
Methodology
The auditor has reviewed Chief’s Orders 97-009 and 97-024 which established the zone “performance files.” These orders required the creation of disciplinary files at the zone level which “contain all OMI and non-OMI complaints that have been filed against the officer,” (CO 97-009). CO 97-024 requires that

9 This undoubtedly is one factor leading to individual officers’ accrual of multiple complaints without management notice, as discussed in 2.2, above.
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performance files “shall be available to personnel within the officers’ chain of command who are responsible for the officers’ training, counseling, or discipline.” The auditor’s team visited Zone 5 and pulled a 100 percent selection of personnel and “performance files” for inspection. In addition, the files were assessed for reasonable accessibility for sergeants, lieutenants and commanders who supervise sworn officers.

The PBP continues to provide access to police officers’ files in an area of each zone station house which is accessible to sergeants and lieutenants working evening and night turns.

The files at Zone 5 files proved to be problematic. Of the 124 officers’ files at the zone, 41 were found to be inaccurate, an error rate of 33%. Some officers had as many as four OMI complaints missing from their files, and the vast majority of missing complaints were 1998 complaints. Three of the officers missing 1998 complaints from their files had three (or more) complaints in the same year (1998), and as many as nine complaints in two years.

The audit uncovered at least 57 citizens’ complaints (filed against 40 officers) that were not in the zone files. This constitutes an error rate of more than 32%. Ssnce this task is considered a critical task, it pulls the Bureau out of compliance with task 45.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 46 requires the City maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the City to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be “identical” to that received by OMI police investigators. The paragraph further requires that the City make the OMI manual available for inspection at PBP facilities and at the OMI office.
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Methodology

The auditor reviewed the OMI manual, as promulgated on December 1, 1997, for revisions and assessed OMI training documents. In addition, the auditor reviewed training records for OMI personnel. Records provided by OMI indicate that all civilian OMI investigators have received training during the fifth quarter, and the office continues to implement its training plan for investigative personnel.

The Office is in primary compliance with the requirements relating to promulgation of an OMI manual, and provision of training for OMI staff. In addition, the Office has developed an annual training plan for 1998-99, and made all suggested revisions in the OMI manual during the last quarter. One new revisions was made this quarter, regarding OMI review of firearms discharges, and it complies with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47:

Receipt of Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 47 requires the City to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.
Methodology
The auditor reviewed six of twelve completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were “required” to complete any OMI form prior to receipt of the complaint and initiation of the investigation. The revised OMI manual was assessed to determine levels of compliance with the stipulations of paragraph 47 and the consent decree. The OMI manual requires that complaints will be received via telephone, facsimile, mail, or in person, as well as anonymously. Revised OMI

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Page 45

form 103-97 includes a checkbox for each receipt method.10 Further, the auditor assessed completed OMI complaint investigations to determine if complaints were being received in accordance with the decree.
Evidence was available in the completed investigations to indicate the particular method by which complaints were being received. Of the six investigations reviewed (of twelve citizens’ complaints completed this quarter) ample evidence existed of receipt of complaints via telephone, letter, and in-person.
Completed investigations were reviewed for any indication of requirements for complainants to complete forms prior to initiation of an investigation. None of the six files reviewed included any form completed by a complainant.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 48 requires that the City accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

Twelve completed OMI complaints were assessed for the source of the complaint. One, AQR5-A, was a third-party complaint, investigated by OMI, and unfounded. Another, AQR5-D, was an anonymous complaint, investigated by OMI and unfounded. The City is judged to be in operational compliance with task 48.

Status:

Primary: In Compliance Secondary: In Compliance

10 Although some of the investigations completed this quarter used the old OMI 103-97, which does not have the check box for method of receipt.
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Operational: In Compliance

Page 46

2.39 Compliance with Task 49:

Closure of OMI Investigations

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. In addition, a sample of eleven completed OMI investigations for last quarter, and six for this quarter, was assessed to determine if any of the complainants in these cases had withdrawn the complaint. One such complaint was found, during the fourth quarter, in which the complainant signed an official “notice” of withdrawal of his complaint. The OMI investigation, nonetheless, was completed, and was thorough. No withdrawn complaints were found during the fifth quarterly audit, although one complaint was found in which the complainant refused any further contact with the Office. The complaint was investigated thoroughly, despite this refusal.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 47

Paragraph 50 requires the City to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the City publicize the new OMI location.

Methodology

During the second quarter, the auditor verified that OMI had been relocated, and assessed the relocation as meeting the requirements of the decree. The only element precluding operational compliance with section 50 of the decree, at that time, was lack of “notice” to the public of the relocation. During the auditor’s site visit for the fourth quarter’s audit, the level of notice of the relocation was assessed. The City has taken proactive steps to publicize the location or function of OMI since the last quarter. A public-access video has been aired detailing the Office’s new location, and thousands of brochures have been printed and distributed noting the Office’s new location.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 51 precludes the City from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the City to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The City is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings “in all City buildings.”
Methodology
The auditor reviewed six of the twelve citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a City facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI
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personnel conduct interviews at complainants’ and witnesses’ homes. The auditor reviewed attendance logs for OMI’s quarterly meetings (held between August 16 and November 15, 1998), reviewed the newly revised OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings, and requested copies of publicity documents posted by OMI relative to the quarterly meetings. Further, the auditor assessed completed OMI investigations to attempt to identify whether or not complainants were required to come to a PBP facility to register a complaint or make a statement.

The quarterly attendance logs indicate that OMI personnel have conformed to the requirement to attend quarterly meetings. While they offer to take complaints at these meetings, according to staff, no such complaints have been registered or investigated. The OMI manual, at section 4-1(B) stipulates that “OMI also accepts complaints during quarterly, off-premises meetings in rotating zones.” This quarter, the City advertised zone meetings in City buildings, and provided copies of publicity notices used to publicize the OMI quarterly meetings in City buildings. Further, the brochures printed by the City and the video completed and aired to all cable recipients, provides further information regarding identifying the location of zone meetings (by providing a contact name and a telephone number). While no logs were provided to ensure that “all City buildings” had posted notices of zone meeting dates, time and locations, the use of the OMI public-access video, coupled with the printed OMI brochure, gives, in the opinion of the auditor, ample notice allowing those interested to attend zone meetings. Further, it should be noted that each City facility the audit team visited this quarter had the OMI brochures prominently displayed in public areas.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 52 requires the City to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.

Methodology

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Page 49

The auditor attempted to track the paper trail from OMI to zone-level senior supervisors, and to find any evidence at the zone level of notification from OMI of use of force, improper search or seizure or racial bias. OMI does issues monthly reports identifying officers complained against, the type of complaint and a brief narrative. These reports are forwarded to the Chief of Police, and the Deputy Chief for Operations. In addition, any complaint alleging racial bias is automatically forwarded to the Human Relations Commission (although this process is not treated in the new OMI manual).

During this quarter’s site visit, the auditor was able to track a “paper trail” of notice to senior supervisors of complaints filed by citizens, noting dissemination of quarterly and monthly OMI reports to senior supervisors of the Bureau of Police. In addition, notice is sent to each zone, and filed in the zone performance file, of OMI investigations of allegations against officers assigned to the zones. This includes all allegations, including those of improper use of force, search and seizure and racial bias.

The auditor also found evidence of a proactive use of data regarding citizen complaints at the level of the Deputy Chief, who, it was noted, often includes discussions of such data in his presentations at command staff meetings, and at the level of the Chief of Police. Given this stance on the part of the Chief of Police and the DCO, and given the fact that notice of complaints is made to senior supervisors, the Bureau is deemed to be in operational compliance for task 52.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation

Responsibility for Complaint

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 53 requires the City to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to “settle” OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.

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Page 50

Methodology

The auditor reviewed the OMI manual for sections relating to paragraph 53, interviewed OMI personnel, and reviewed OMI case files for any indication of incompleted or “withdrawn or settled” OMI cases. Section 2-1 of OMI’s new manual charges OMI with jurisdiction to “investigate all personnel of any department of the City of Pittsburgh...” and specifically notes the departments over which OMI has investigative authority, including the PBP. A review of six of the twelve completed OMI investigations for this quarter reveals no evidence to indicate that the City does not remain in compliance with this task. No cases were found in which the complainant officially notified OMI of his desire to withdraw his complaint, although one complaint was noted in which the complainant, after filing his original complaint, refused to have any further contact with the office. OMI investigated this complaint thoroughly.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Number on Request

Officers to Provide Name and Badge

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, “Conduct Toward the Public” requires that “when requested by any person, a member shall give his name and badge number in a courteous manner.”

Methodology

The auditor reviewed a sample of completed OMI cases for the fourth quarter (May 16 to August 15, 1998) to determine if allegations of failure to provide name and badge number were made to OMI. Four allegations of failure to provide badge numbers and names were found. Of the four, one allegation was sustained. During this quarter, no citizens’ complaints were filed alleging failure to provide names and badge numbers.

Status:

Primary: In Compliance Secondary: In Compliance
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Page 51

Operational: In Compliance

2.45 Compliance with Task 55: Alternative Sites

Interview of Complainants at

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants “off-site,” if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted “off site.” Among the six completed investigations assessed during this quarter, ample evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ home) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: Interviews

OMI to Tape and Transcribe

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept “special reports” in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.
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Methodology

The OMI manual stipulates a “Tape Recorded Statement Form” and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed six (of twelve) completed investigations of citizens’ complaints provided by OMI based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases reviewed except one included transcriptions of OMI interviews of officers, witnesses or complainants. One of the cases selected for review (AQR5-J) did not include tape-recorded officer interviews, as the officers declined to provide statements, pursuant to the stipulation of the union contract regarding complaints filed more than 90 days after the alleged event.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57:

OMI Staff Access to EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 57 stipulates that OMI staff should be provided access to the City’s Early Warning System. Even though the EWS is currently operational, and current plans call for such access; however, this access has not been provided as of this writing.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.48 Compliance with Task 58:

OMI to Interview Supervisors at

Scenes of Incidents Leading to Allegations of Misconduct

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

As noted in the first auditor’s quarterly report, the OMI manual contains language concerning the need to interview senior supervisors and supervisors; its revised version requires OMI investigators to determine the supervisors’ “handling of … situation[s] during and after the alleged incident[s]” and their “observations of the complainant[s] and the accused officers.”

Further, OMI case reports which were reviewed were assessed for any evidence that the investigator had attempted to locate any potential supervisors at the scene. Two of the twelve cases reviewed during the fifth quarter produced an indication that supervisory personnel were present. The OMI investigator interviewed the supervisors, took taped and transcribed statements, and included the statements of the supervisors in the analysis of the cases through the final reports. During this quarter, no evidence was located in completed OMI case files to indicate that supervisory personnel were on-scene.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59:

OMI to Canvass for Witnesses

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 59 requires OMI to canvas the scene of an incident for witnesses “as soon as possible” after receiving a complaint where canvassing could “reasonably yield” additional information.

Methodology

The auditor reviewed the OMI manual, Section 6-1G, which requires neighborhood canvasses, “as soon as possible” after receiving a complaint. Case tracking forms also include a “check off” box for witnesses located through the canvassing process.

The auditor reviewed a sample of twelve completed OMI cases for the fifth quarter (August 16 through November 15, 1998) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Of the six cases reviewed, all included documented efforts to reach witnesses.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60:

OMI to Review Police Shootings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

The auditor assessed, through departmental records, the number of policeinvolved shootings which occurred during the fifth quarter and found none. The Office is judged to have remained in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.51 Compliance with Task 61: Allegations of Misconduct

OMI to Aggressively Investigate

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 61 requires that OMI investigators “aggressively” investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed a 50 percent sample of OMI investigations completed from August 16 through November, 15 1998, to assess the level of compliance with paragraph 61.

The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting. Further, training for OMI personnel was also reviewed, as, in the auditor’s opinion, training is the key to acceptable performance. During the fifth quarter, personnel assigned to OMI continued to experience a substantial increase in training.

Of the six investigations assessed for the fifth quarter, all appeared to have been professionally conducted, and to meet minimum standards for professional internal investigations. Some of OMI’s case investigations were excellent examples of internal investigations, and could be used as training mechanisms for other investigators.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.52 Compliance with Task 62: Four Corners”

OMI to Act on Behavior “Outside the

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled “outside the four corners” of the original complaint.

Methodology

The auditor reviewed the OMI manual for reference to the requirement to note conduct “outside the four corners” of the complaint which violates departmental policy or procedures. The OMI manual refers to such complaints as “collateral misconduct,” and stipulates in Section 6-8 that “if, during the course of an OMI investigation, an OMI investigator has reason to believe that … collateral misconduct [occurred] the investigator must investigate and make findings with regard to such collateral misconduct.”

The auditor also reviewed a 50 percent sample of citizens’ complaint investigations completed by OMI between August 16 and November 15, 1998. Each complaint was evaluated to determine if any behavior could be noted that would be “outside the four corners” of the original complaint. None were found which could result in allegations of collateral misconduct. The auditor was, then, unable to audit this requirement. Based on past performance, however, the Office is judged to remain “not in compliance” with this task element.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.
Methodology
The auditor reviewed a sample of six investigations completed by OMI between August 15 and November 16, 1998. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Each of the six files assessed contained evidence of substantial improvement in form, style and substance. All requisite reports, checklists, forms and documentation were present in each of the six. All investigations were conducted in a manner that meets minimum standards for internal investigations, and some of the completed investigations could be used as “teaching tools” for new investigators.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 64 requires the City to provide OMI with “sufficient staff, funds and resources to perform the functions required” by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
During the first quarterly audit, the auditor conducted a routine desk audit of OMI practices, caseload and work product. OMI is currently authorized a staffing level of four full-time investigators assigned to Police Bureau cases. Case loads for
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Page 58

the four OMI investigators have risen steadily over the past year. The Office was receiving approximately 90 new cases per quarter in 1997. That number is closer to 150 new cases per quarter now.

Some progress has been made by tightening up the management control of investigations: providing needed training for investigators and managers, and by providing a full-time intake coordinator’s position—which removes investigators who are in the office writing case reports from telephone duty. The intake coordinator also provides other services which free up investigators for case work. Further, one additional OMI employee has been hired and has been assigned the function of case analysis and development of case conclusions, based on facts gathered by the investigators. In addition, the City has prepared budget requests to increase OMI staff by two more police-only investigators. This enhanced staffing, if completed as requested, will result in a 100 percent increase in OMI staff, buttressing four police-only investigators with an intake coordinator, case analyst, and two additional police-only investigators.

Productivity of the Office reflects a “new systems” flavor. It jumped significantly during the fourth quarter, with twenty-two completed case investigations, an increase of 550 percent over last quarter. Fifth quarter productivity dropped 45 percent, to 12 completed cases. This can be considered “normal” for organizations internalizing new systems, and can be expected to continue for another few months.

Case backlog for the Office continues to be troubling, however. Currently, the office has a backlog of more than 300 cases, and case intake continues to outpace case completion by a four-to-one ratio. Many of the older cases in the OMI backlog were filed nearly two years ago. The Office should carefully consider how it will complete these pending investigations, maintain pace with new intakes, continue its new-found level of quality, and institutionalize its new management processes.

Staffing is, of necessity, a decision made carefully; however, the auditor remains of the opinion that, currently, inadequate staffing levels are present in OMI to handle existing and anticipated workload, although plans have been made and partially implemented to improve this situation.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology

The auditor reviewed the OMI Manual of Policy & Procedure, which states at Section 7-4 that “all findings by OMI shall be based upon the ‘preponderance of the evidence standard.’” The revised (5/98) document defines this standard for the reader, using applicable civil law definitions. Despite this guidance, which, in all fairness was made available to investigators only May of 1998 (despite an erroneous date on Section 7-4 of 11/97)11, OMI investigators appear to have begun to use the preponderance of evidence standard in developing their conclusions. This is the second quarter in a row that OMI case decisions have adhered to the “preponderance of evidence” standard.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.56 Compliance with Task 66: Statements

Apr 97 Q1

Q2

No Preference for Officers’

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

11 Section 7.4 of the OMI Manual was revised in May, 1998 to provide a more complete definition of “preponderance of the evidence.”
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Paragraph 66 stipulates that “there shall be no automatic preference of an officer’s statement over a complainant’s statement,” and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed the OMI Manual of Policy and Procedure for references to preferences to officer’s statements, and found a reference in the revised (5/98) Section 6-9. There were also references to credibility determinations (Section 69) which conform to the requirements of paragraph 66.

In addition, the auditor reviewed six of the twelve OMI investigations of citizens’ complaints completed during the fifth quarter for conformance to this requirement. In each of these six, credibility assessments were documented in the final report. None of these were found to give preference to the officers’ statements.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.57 Compliance with Task 67: Authority

OMI Retains Final Investigative

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.
Methodology
The auditor reviewed all OMI investigations completed between August 16 and November 15, 1998, searching for a case which resulted in a sustained finding, with evidence of a “reversed” OMI finding by a supervisor or senior supervisor.
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No such evidence was found. The reader should note, however, that all OMI investigations completed this quarter were completed late in the cycle, and had not yet had time to be reviewed by the Bureau. As a result, a sample of completed OMI investigations for the fourth quarter were reviewed to determine if any of the Office’s findings were “reversed” by Bureau personnel. None of those reviewed were found to have been reversed. The City is deemed in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Resolved”

Change “Not Sustained” to “Not

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 68 requires the City to change the OMI disposition category of “Not Sustained”
Methodology
The auditor reviewed the OMI manual, which stipulates at 7-1B, that cases which generate “evidence that is insufficient to prove or disprove that accountability standards have been violated” will be classified as “Not Resolved.” Further, the auditor assessed all completed OMI investigations for the period August 16 through November 16, 1998, to determine if the disposition of “Not Resolved” was appropriately used. In the two cases reviewed that produced evidence which should be classified as “Not Resolved” one case was so classified. The other resulted in a finding of “Unfounded,” (AQR5-J). This case involved a complaint concerning an incident that occurred in April, 1995. The complaint was filed in April, 1998, and completed in October, 1998. The complainant refused to talk with investigators. While the findings in this case are technically incorrect—the investigation did not develop enough evidence to “unfound” the complaint—this is the first such instance since August of 1997 in which the auditor has found a case that should have been “not resolved,” which was classified differently. The City continues to be judged in compliance with this task. The Office should pay particular attentions to the “rules of classification,” however, to ensure that cases continue to be correctly classified.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69:

OMI to Issue Quarterly Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the Decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.
Methodology
Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December 4, 1997. The City is in compliance with the process of appointing the auditor, although
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Page 63

tardy in doing so. For the purposes of the audit, the City is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Assurance Checks

Auditor to Perform Quarterly

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

• OMI final reports; • Substance and timeliness of 50 percent of all OMI investigations completed; • Statistical information on the number and types of complaints filed with OMI; • Statistical information on discipline imposed on sustained complaints; • Assessments of officer use of force, searches and seizures, and traffic stops.

Methodology

This fifth quarterly report is offered as compliance with the requirements of Task 71. In addition, sufficient numbers now exist in the OMI/PBP databases to begin the process of reporting statistically concerning number and types of complaints filed with OMI and on discipline imposed on sustained complaints. The next quarterly report will include sections on both of these characteristics.

2.62 Compliance with Task 72:

Auditor to Recommend Reopening of

Incomplete OMI Investigations

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete. Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed six of the twelve OMI investigations of citizens’ complaints completed between August 16 and November 15, 1998. All completed investigations reviewed for the fifth quarter were conducted in a manner which meets minimum standards for professionally conducted internal investigations. Some completed investigations were suitable for use as training devices for new investigators.

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2.63 Compliance with Task 73: City to Prepare Progress Reports

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter. The first report was issued July 11, 1997; the second was issued January 16, 1998. The third was issued in July, 1998.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.64 Compliance with Task 74: City to Maintain Records Necessary

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 requires the City to maintain all records necessary to document their compliance with all terms of this decree. Further, it requires the City to maintain records required by or developed under this decree.

Methodology

The auditor asked for all pertinent copies of records required to document compliance with the decree, and received same in a timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.65 Compliance with Task 75: Unrestricted Access for Auditor

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 75 requires the City to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto. Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

During the course of development of the first Auditor’s Quarterly Report, the auditor made dozens of specific requests of the City, OMI and the Pittsburgh Bureau of Police. All requests were responded to in a professional and timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76: Unrestricted Access for Justice

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 76 requires the City to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree. Further it requires access to staff and facilities upon appropriate notice.

Methodology

During the course of the implementation of this decree, the Department of Justice has made numerous requests for information, data and access. These requests have always been honored.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.67 Compliance with Task 77: Copies of Consent Decree to All Officers

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 77 of the decree requires the City to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations. All such individuals are further required to sign a statement indicating that they have received, read and understand the statement. The City is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the City acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video12. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the City’s approach to compliance. Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.68 Compliance with Task 78: 90 Day Timeline for Conformance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

12 Officers on extended leave and who are otherwise excused for duty for extended periods of time have not viewed the video, nor have they signed the statement of understanding.
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Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree. Methodology Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the EWS. The City is currently in primary compliance with 100 percent of the 7313 provisions to which the City should have complied by now. The City is in secondary compliance with 61 of the 73 provisions due as of August 15, 1998. It is also in operational compliance with 51 of the 73 tasks, due as of August 15, 1998.14
13 Two of the 73 tasks in the decree accrue to the auditor. 14 The auditor was unable to audit two secondary and operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., no promotions during the quarter or no completed disciplinary action reports during the quarter, etc.
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3.0 Summary
The City, the Bureau and the Office of Municipal Investigations have improved compliance with the elements of the consent decree during the last quarter. They have continued to take a professional approach towards the decree, insisting on complying with both the letter and the spirit of the decree, and moving with deliberate speed to ensure compliance. All of the auditor’s requests for information have been responded to with rapid compliance, and the routine response of the City to the auditor’s suggestions has been to implement them enthusiastically. The City and the Pittsburgh Bureau of Police are nearing the end of the first phase of one of the most complex organizational change projects in the history or American policing. The consent decree has outlined changes to nearly every administrative component of the Bureau. As the first phase ends, the second phase calls for Bureau personnel to begin to institutionalize the changes forged under the first phase. The City and the Bureau continue to pursue both the letter and the spirit of the decree. The City has recorded a primary compliance rate of 100 percent, a secondary compliance rate of 83 percent, and an operational compliance rate of 69 percent.15 While a substantial amount of work remains to be done, the City is making steady progress toward complete compliance.
15 The auditor was unable to audit two operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., quarterly reviews of Bureau actions using the EWS etc. Thus, the auditor found the City in operational compliance with 51 of the 68 tasks which could be audited this quarter.
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 Auditor’s Sixth Quarterly Report Quarter Ending February 16, 1999

Page 1

1 Introduction
This document represents the sixth of an anticipated 20 “Auditor’s Quarterly Reports” (AQR) assessing the levels of compliance of the City of Pittsburgh (City) with the requirements of the consent decree (decree) entered into between the City and the United States Department of Justice (Justice) on April 16, 1997. The document consists of three sections, identified below:
• Introduction; • Compliance Assessment; and • Summary.
The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of “compliance” are described in Section One, “Introduction.” Section Two, “Compliance Assessment,” includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, “Summary” provides an overall assessment of the City’s performance for this quarter.
1.1 Overall Status Assessment
1.1.2 Dates of Project Deliverables
Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the City; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.
1.2 Format for Compliance Assessment
The AQR is organized to be congruent with the structure of the consent decree. It reports on the City’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated “early warning system” (EWS). The following components of the decree are treated similarly. For each section of the decree, a graphic representation of the City’s compliance status is presented. The graphic is

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Page 2

designed as follows. The “label” depicts the start date for the City’s compliance

actions (almost always April 16, 1997). The blue bar, below the label,

depicts the time allotted, by the decree, for the City to comply with the decree.

The light blue, yellow, orange or red bars, below the blue bars indicate the time

expired since the start date. The vertically patterned light blue bars

indicate expired time equal to or less than that allowed by the decree. The

checkered Yellow bars

indicate expired time that is more than that

allowed by the decree, but which, in the judgment of the auditor, does not

seriously threaten the City’s successful compliance with the decree. The

horizontally patterned Orange bars

indicate expired time that is more

than that allowed by the decree, and which, in the judgment of the auditor, may

seriously threaten the City’s successful compliance with the decree. Red bars

indicate expired time which is more than that allowed by the decree, and

which, in the judgment of the auditor does seriously threaten the City’s

successful compliance with the decree.

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Compliance is classified as primary, secondary and “operational,” with the definitions specified in Section 1.4, below.
1.3 Compliance Assessment Processes
1.3.1 Structure of the Task Assessment Process
Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:
• Selection of a random sample, or
• Selecting all available records of that type.
Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.
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The performance of the PBP and the City of Pittsburgh (City) on each task outlined in the consent decree was assessed by the auditor during the quarter ending February 15, 1999. In order to allow time for completion of the report, the auditor completed assessment activities on February 20, 1998.
All determinations of status for the City and the PBP are data-based, and were formed by review of the following types of documents:
• Official PBP documents prepared in the normal course of business; • Official Office of Municipal Investigations (OMI) documents prepared during
the normal course of business; and/or • Electronic documents prepared by the City or components of City government
during the normal course of business.
Where practicable, documentation forming the database for this audit were selected by the auditor and the auditor’s staff directly from PBP, OMI or City files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints were assessed by reviewing OMI files, OMI electronic files, and zone performance files.
1.4 Operational Definition of Compliance
For the purposes of this audit, “compliance” consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to “comply” as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the Bureau.
During this quarter of the decree, the City, the Bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.
Substantial progress has been made during the sixth quarter, including progress in the critical areas of training and crafting systems of documentation of compliance efforts, as well as in development of an operational EWS. In addition, significant progress has been made in the area of OMI operations and management.
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Page 4

2 Assessment of Compliance
2.1 Methodology
The auditor assessed the City’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and “operational” (see section 1.4, above).

The following sections of the sixth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the City has complied with the 73 tasks to which it agreed on April 16, 1997.
2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the Decree requires the City and the PBP to automate the database tracking system currently in use to track police officer behavior, and to add functionality to the system, transitioning it to an “early warning system” (EWS) which will assist the Bureau in identifying and managing officer behavior which may be problematic.
In order to accomplish this task, the City has formed a “protocol committee,” and charged this committee with responsibility for defining policies, procedures, manual and automated systems, and oversight practices for each of required elements of the EWS. The decree requires development of protocols in the following areas:
• Citizens’ complaints; • Officer-involved shootings; • Criminal investigations of officers; • Civil or administrative claims arising from PBP operations; • Civil claims against the PBP; • Law suits against the PBP; • Warrantless searches by officers; • Use of force by officers; • Traffic stops by officers; and
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• Discretionary charges filed by officers.
The City has completed work on the various protocols designed to serve as policy guidance for the planned Early Warning System.
Further, the City has implemented a supplementary supervisory device, the Supervisor’s Activity Report (and supporting policy and training), which requires supervisors to provide an on-scene presence at selected patrol activities conducted by personnel under their command. The SAR process requires supervisors to exhibit a field presence, assessing the quality of work of patrol officers regarding performance, adherence to policy and procedure, use of equipment, safety practices, communication skills, or exhibition of prohibited bias. Further, the form requires the supervisor to note recommended actions to remedy any deficiencies noted. The auditor has reviewed each of these protocols, and has assessed their viability in sections 2.2-2.6, following.
Recent developments include implementation of a “production version” Early Warning System, consisting of an Officer Management System component which allows PBP command and supervisory personnel to monitor the activity levels of their personnel. The production version of the EWS has been in-place—and under near-constant review and revision—since October, 1998.
Methodology
During the site visit for the sixth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.
The City now has a “production” version of the EWS on-line and operational, as of November, 1998, through early January, 1999. Entry of pre-consent decree information (from September, 1995 forward) has been completed and is accessible through the EWS database. Programming for the EWS is complete, and the database has been “released” for daily use of PBP personnel. Initial and refresher training of PBP supervisors and command personnel has been completed. During the site visit for the sixth quarterly audit, the auditor reviewed the EWS system, and found it to be operational, and capable of reporting on and monitoring the activity of police personnel in the field.
During the period of time between the fifth and sixth quarterly audit visits, the City determined that some data in the EWS were inaccurate, and has begun the process of “cleaning” the data, prior to the performance of data integrity audits by the consent decree auditor. In addition, personnel transfers in the month of January, performed in compliance with the consent decree, created serious
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Page 6

issues regarding data integrity and system performance. Thus, the system was subjected to substantial revisions, in the chain-of-command module in particular, in mid January, and remained under revision until Friday, February 19, 1999. A review by the auditor at that time indicated that the system was functioning as planned, although some data remained “questionable” in terms of accuracy. The internal audits performed by the City identified these issues, and, by the time of the auditor’s visit, plans had been developed to rectify outstanding issues with the system.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

To gain operational compliance with this task, the City would need to conduct at least one quarterly analysis, using the EWS and the Officer Management System, and take remedial steps, if indicated, based on that quarterly analysis.

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the decree requires the City to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.
Methodology
During the site visit for the sixth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.
The City’s EWS is currently on-line, and reports electronically officer status on each of the elements required by the decree. The system is a well-designed, “user-friendly” reporting system that appears to be at the leading edge of the field of officer management software. The Bureau and the City are judged to be in secondary compliance with task 12-a. Despite some unanticipated—but not unusual—data integrity problems and systems integration problems, the City’s
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internal audit systems identified existing system deficiencies and had in place planned “fixes” by the time the auditor arrived for the sixth audit site visit. Inplace inspections and audit are required components of secondary compliance. Assessment of operational compliance cannot come until the EWS has been operational long enough to assess the degree to which supervisory and command personnel actually use the system to review and assess officer activity.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

To gain operational compliance with this task, the City would need to conduct at least one quarterly analysis, using the EWS and the Officer Management System, and take remedial steps, if indicated, based on that quarterly analysis.

2.2.2 Assessing Compliance with Task 12-b: Nature of EWS Retrieval Systems

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-b of the decree requires the City to build into the EWS the ability to retrieve information from the EWS by officer, squad, zone, unit, and the execution of “discretionary arrests.”1
Methodology
During the site visit for the sixth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.
A review of the capabilities of the EWS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. The City and the Bureau are judged to be in secondary compliance with task 12-b. An assessment of operational compliance cannot be conducted until the system has been in place long enough to assess supervisory and command staff use of its capacities.

1 Defined by the decree as resisting arrest, disorderly, public intoxication, and interfering with the administration of justice.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

To gain operational compliance with this task, the City would need to conduct at least one quarterly analysis, using the EWS and the Officer Management System, and take remedial steps, if indicated, based on that quarterly analysis.

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-c of the decree requires the City to archive the records in the EWS for three years after the involved officers’ separation from service, and that all records be archived indefinitely. In addition, it requires the City to enter all relevant data for three years prior to April 16, 1997.
Methodology
During the site visit for the sixth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.
Data retention protocols for the EWS have been established which will meet the requirements of task 12-c. Data entry for the EWS for information related to Bureau activities prior to April 16, 1997 have been completed for all data that could be found which were accurate. In some cases, this does not include all data between April 15, 1995 and April 16, 1998; however, the data that do exist in the EWS are the best available accurate data, based on information obtained from the City, the Bureau and the Computer Information Services department of the City. After implementation of the EWS and Officer Management System during the fifth quarter, some data which had been entered into the system were found to be inaccurate. The City has implemented steps to begin cleaning that data, and inaccurate data are being eliminated from the system. This process was not completed as of the auditor’s last site visit, in February, 1999.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

In order to gain compliance with this task, the City will need to ensure that 95 percent of all data in the EWS and in the Officer Management System are accurate.

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-d requires the City to develop a protocol for use of the EWS that would:
• Establish trigger thresholds for review of officer records by senior supervisors; • Establish requirements for frequency of review of officer records by senior
supervisors; • Establish the types of corrective actions to be taken by senior supervisors; • Establish confidentiality and security provisions for the EWS; • Establish requirements for quality assurance checks of data input; and • Have the protocol submitted for review 30 days before implementation.
The City has developed protocols for use of the EWS, including those controlling:
• Weapons discharges by a Bureau member; • Citizens complaints; • Civil claims arising from Bureau operations; • Initiation of criminal investigations against Bureau members; • Lawsuits arising from Bureau operations; • Reporting subject resistance incidents; • Trend analysis; • Processing allegations of untruthfulness, racial bias, domestic violence, and
physical force; • Managing search and seizure activity; and • Reporting and review of traffic stop and arrest data.
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These protocols have been reviewed by the auditor, and found to be reasonable and effective responses to the requirements of the consent decree, and in fact, in many cases, to move beyond the requirements of the decree. The protocols also address the supervisory and managerial responses required by those reviewing officers’ actions.

Methodology

During the site visit for the sixth quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.

Now that the EWS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the EWS by the consent decree. The operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer behavior, in compliance with the requirements of the decree. The system has not been operational long enough to allow a quarterly analysis of required issues, thus, the City is judged to be in secondary compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

To gain operational compliance with this task, the City would need to conduct at least one quarterly analysis, using the EWS and the Officer Management System, and take remedial steps, if indicated, based on that quarterly analysis.

2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY
OPERATIONAL
Paragraph 13 requires the City to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the City to submit the policy to Justice for approval prior to implementation.
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Methodology
The auditor has reviewed the PBP’s use of force policy, which was completed prior to the deadline, and has assessed the policy for conformance to national standards and applicable law. The newly drafted policy, effective August 15, 1997 is well written, and is designed to allow the Bureau to control effectively the use of force by the Bureau’s officers.
Promulgation of the policy and the necessary training to implement it have been completed. Reporting and supervisory review processes have been implemented, and the Bureau’s Subject Resistance Reports have been developed, disseminated, and implemented, and are currently being completed by PBP personnel.
Further, the auditor conducted a thorough review of a random sample of 55 Subject Resistance Reports completed by PBP personnel during the quarter. This quarter’s review of the SRRs indicates an acceptable level of command review, indicated by the fact that five reports were noted in which requests for additional information or re-writes of SRRs were made by supervisory, command or executive staff. Two reports were noted with reporting problems, such as questionable use of a “for my safety” explanation or unexplained delays in review; however, overall, Bureau SRRs were reviewed appropriately in 96.4 percent of the cases selected for review. This figure falls well within the required 95 percent compliance rate.
Other factors also indicate that the monitoring of use of force at the Bureau is taken seriously.
• First, the SRR forms continue to indicate an active supervisory presence on the street, where use of force generally occurs;
• Second, the files reviewed continue to indicate an apparent under-use of force on the part of the officers of the PBP, e.g., multiple instances in which the articulated facts supported higher levels of police force than was used; and
• Third, evidence exists, in the form of follow-up memoranda from some commanders, which indicates that some commanders carefully review the process of use of force.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

Page 12

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 14 requires the City to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.

Methodology

The auditor has reviewed PBP policy 45-1, “Strip and Body Cavity Searches.” The policy conforms to all requirements of the decree, and was promulgated and effective November 10, 1997. A review of the training records of the Bureau indicates that, as of November 15, 1998, the department had trained 95.8 percent of its officers in search and seizure topics, including strip search and body cavity searches. In addition, the auditor has reviewed a randomly selected sample of 27 completed “Field Contact/Search/Seizure Report” forms generated between November 16 and February 15, 1999. None of these reports dealt with a strip search. As noted in earlier quarterly audit reports, however, the department has established an effective review policy, and has, through its inspections and audit process, noted the conduct of strip searches which fell outside of policy. The officers conducting these inappropriate strip searches were retrained, in addition to receiving written memoranda regarding their actions. The Bureau is judged to remain in operational compliance on this task. Once electronic databases are fully operational, the auditor will be able to select a 100 percent sample of strip searches for review.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
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2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions

PRIMARY SECONDARY OPERATIONAL

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

Paragraph 15 requires the City to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
The City has conformed to paragraph 15 through development of several related policies, each of which requires a written report any time a police officer performs any of the above-listed actions. In addition, these protocols are supported by specific policies (12-6, Use of Force, 45-2 Warrantless Searches and Seizures, and 45-1 Strip and Body Cavity Searches). Each of these policies stipulates specific reporting procedures which are in conformance with the requirements of the decree, c.f., 12-6 @ 6.6, 45-1 @ 5.1, and 45-2 @ 3.1. The Department of Justice has approved these protocols viz. a viz. the decree (Use of Force on August 4, 1997 and Search and Seizure on November 10, 1997) based on the City’s submission on July 16, 1997. The Search and Seizure protocol approval was delayed by discussion between the City and Justice regarding specific provisions.
Methodology
The auditor reviewed training records for search and seizure and use of force topics. In addition, a randomly selected sample of Subject Resistance Reports and Field Contact/Search/Seizure Reports was reviewed to assess the level of accuracy of reporting and supervisory review for these reports. A sample of 55 SRRs (based on 22 incidents) was selected for review, constituting a ten percent sample of all SRRs for the quarter.
Training regarding Use of Force reporting was completed during the fourth quarter, and the reporting forms and guidelines have been implemented. Subject Resistance Reports are being processed by the department, and the day-to-day operation of controlling use of force by PBP officers appears to moving forward.
During the fourth quarter, training for “all officers” in search and seizure policies was substantially completed. As of February 15, 1999, all but 37 of the Bureau’s
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Page 14

1,080 active-duty officers had been trained in search and seizure policies. All had received a passing score on the content examination given by the training academy.

The average review time for all SRRs is still well within the required seven day period (at three days), and evidence exists to indicate that the supervisory review is an active review, often requiring additional information, re-writing of reports, or other actions on the part of the originating officer. A total of 2 of the 55 SRRs reviewed for this quarter had some form of reporting problem. This falls well within the required 95 percent compliance rate for critical areas of the decree.

A review of the FCSSRs Of the 27 field contact/search and seizure reports reviewed, all but two were reviewed within seven days. These two were remanded by supervisory personnel for revision, and were completed after the seven day period. Initial review and quality assessment, however, appear to have been completed prior to the seven day period.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.6 Assessing Compliance with Task 16: Reporting Traffic Stops

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 16 requires the City to establish reporting requirements each time a police officer makes a traffic stop. The City has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. Reporting practices for traffic stops are currently under negotiation between the City and Justice, and awaiting finalization prior to promulgation. The Bureau has begun collecting traffic stop data, using the form designed by the City. These data are available at the Zones, and have been entered into the EWS. Assessment of traffic stop information was not possible for this quarter, as the tabular data from the EWS regarding traffic stops was not available through the EWS as of this audit cycle. The EWS system has not been in place and operational for a sufficient period of time to allow the electronic audit of traffic stop information this quarter.
Auditor’s Sixth Quarterly Report March, 1999
Public Management Resources San Antonio, Texas

Status:

Primary: In Compliance2 Secondary: In Compliance Operational: Not in Compliance

Page 15

2.7 Assessing Compliance with Task 17: Entry of Data into the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 17 requires the City to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The City has developed protocols requiring such entry. The automated EWS has begun accepting data on police use of force and searches, and traffic stops are currently being entered into the system, as well. Data entry for pre-decree activities has been completed, although some data were not available, or were deemed inaccurate, and thus were not entered into the system. All pre-1998 data that were available and considered accurate have been entered into the EWS system, and are included in that system’s reports processes. Some data that were released through the “production” version of the Officer Management System were found to be inaccurate, and are currently being updated by CIS staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8 Assessing Compliance with Task 18: Audits of Use of Force

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 18 requires the City to cause supervisors and senior supervisors to conduct “regular audits” of PBP officers’ use of force, and to act on information

2 The City submitted the required protocol in a timely fashion. On-going negotiations between the City and Justice are currently underway.
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concerning the use of force with the goal of reducing or preventing use of excessive force.
Methodology
The audit team conducted a random selection of 22 incidents resulting in the completion of “Subject Resistance Reports” (a ten percent sample of incidents for this quarter). The policy requires PBP officers to complete a SRR any time they use force to subdue a subject. Each of the reports selected was reviewed to ensure that the:
• Form was properly executed; • Form was reviewed by supervisors and senior supervisors within one week; • Supervisory review identifies problems with the use of force, where
appropriate; and • The review process is being implemented as required by the decree.
The results of the review indicate that the City is in primary compliance with the requirement of the decree: the policy regarding use of force reporting has been written and disseminated; the forms are being completed and reviewed; the forms are being forwarded to the training academy and to the administration division; and the forms are being filed as would be expected.
The City remains in operational compliance with this task. Of the 55 SRRs reviewed, all but two were appropriately reviewed. One of these two included the use of a comment that the force was used “for [the officer’s] safety” under circumstances that were questionable. The other included incomplete data on the nature of the injury to the suspect (failure to check yes or no, indicating whether the suspect was injured or not). Three other SRRs completed on the same incident indicated that the suspect was not injured. An error rate of two of 55 reports is acceptable, falling within the 95 percent accuracy requirement established for critical tasks, at 96.4 percent.
In addition, the City is currently assessing Section 18-a of the consent decree, which requires an OMI investigation of use-of-force incidents which result in “serious injury,” which is defined (at 11-f of the decree) as “any injury that results in death or that the City has reason to know requires or results in professional medical care or treatment” (Decree, p. 5). Eight of the SRR incidents reviewed by the auditor indicated that the subject arrested received medical attention at hospital. Three of these injuries were attributable to OC spray decontamination at hospital, and two were attributable to dog bites from police K-9 deployments. OMI selected each of the injury-related SRRs for initiation of reviews this quarter. Currently, the City is working to resolve this implementation issue. The potential re-interpretation of “serious injury” has been referred to the City Solicitor’s Office
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Page 17

and the Department of Justice. Until this area of the decree is better-defined, however, the current working definition established by the decree was used to assess compliance.

Status:

Primary: In Compliance
Secondary: In Compliance Operational: Not In Compliance3

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. While the EWS has been brought on-line, it has not been operational long enough for the Bureau to have begun making managerial and supervisory decisions based on information included in the EWS database. No quarterly analyses of use of force has been conducted using the EWS database. The Bureau has, however, completed all of the necessary policies, training, and system development processes to allow such assessments to be made. The Bureau is judged to be in secondary compliance with the requirements of task 18-b.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

3 Attainment of operational compliance for this task will require resolution of the “serious injury-” OMI investigation issue and improvement of the PBP’s SRR review process.
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Paragraph 19-a requires the City to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.

Methodology

During the sixth quarter, the Bureau completed 383 reports of field contacts or search and seizure activity. In order to identify the appropriate sample size for review, the auditor assessed activity levels, through completed FCSSR data, and identified the rate at which searches resulted in seizures. During the sixth quarter, the Bureau completed 383 reports of field contacts or search and seizure activity. A random sample of 27 FCSSRs completed during the sixth quarter was selected and analyzed to ensure the reports met the requirements of task 19-a.

Further, each of the 27 selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the 27 reports was assessed, and supporting documentation, where available, was reviewed. Three FCSSRs were found which were not reviewed within seven days; however, each of these was delayed specifically because the review process identified errors in the original report and supervisory personnel remanded the reports for correction or enhancement. The final completed report was submitted after seven days; however, initial review identified errors or other reporting problems well within the seven-day period.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-b requires the City to analyze the search and seizure activity of its officers on a quarterly basis. The protocols and policies for search and seizure reporting have been completed, and training and implementation are completed.
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The EWS is now operational, but, has not been operational long enough for the Bureau to have begun making quarterly assessments of search and seizure activities of its officers. The Bureau is judged to be in primary compliance with the requirements of task 19-b.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-a requires the City to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The Bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial bias. During the sixth quarter, no allegations of racial bias were lodged with OMI. During the fourth quarter, however, three were found that were investigated between May 16 and August 15, 1998: AQR4-E, AQR4-J, and AQR4-P. Of these three, one was sustained. The single sustained complaint alleging racial bias was reviewed by the officer’s chain of command within seven days of receipt of notice of the sustained finding from OMI. Appropriate disciplinary action was taken in this case (suspension). The Bureau is judged to be in operational compliance with the requirements of task 20-a.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias

Apr 97 Q1

Q2

Q3

Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-b requires supervisors to use the EWS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. While the EWS is operational, it has not been available to Bureau personnel over a period time sufficient to allow quarterly analysis of racial bias. Data exist; policies are in place, and the necessary training regarding the use of the EWS has been accomplished. However, since the EWS has not been operational long enough to allow the first quarterly analysis of allegations of racial bias, the auditor was unable to audit for secondary or primary compliance. The Bureau is judged to be in primary compliance with the requirements of task 20-b.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 21-a requires the City to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a three-year period, or five or more complaints in a two-year period.
Methodology
Based on records provided by the Bureau, 21 individual disciplinary actions were taken by the Bureau during the period of time covered by this report. Of these 21, seven complaints involved citizen complaints or interactions with citizens.
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Disciplinary actions for those seven incidents were taken during this quarter. The auditor reviewed all disciplinary action reported for the sixth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline. In addition, a complete review was conducted of all personnel files at Zone 4. Of the files reviewed (a 100 percent sample), files of all officers with three or more citizens complaints had letters documenting supervisory counseling concerning the complaints. For example, departmental discipline included:

• Oral and written reprimands for conduct toward the public and obedience to orders;
• A one-day suspension for conduct toward the public; • A five-day suspension pending termination for excessive force; and • A five-day suspension and counseling for domestic violence.

Based on the protocols of progressive discipline, the Bureau is responding within its anticipated range of responses in delivering discipline.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 21-b requires the City to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on reviews of officer behavior.
Methodology
The auditor reviewed the Bureau’s disciplinary processes for the period from November 16, 1998 to February 15, 1999. While the Office of Municipal Investigations has sustained five citizens’ complaints during this quarter, these investigations were completed near the end of the quarter, and as of this writing, no disciplinary action has been assigned for this sustained complaint. The Bureau has, however, taken disciplinary actions on citizens’ complaints sustained last quarter. The auditor has reviewed disciplinary action reports (DARs) for
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Page 22

sustained complaints from last quarter. One DAR was noted which was the result of a citizen’s complaint. Counseling was stipulated as part of the disciplinary process for this sustained complaint.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.2 Compliance with Task 21-c: Consider Prior Record in Determining Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 21-c requires the City to consider an officer’s prior record in determining discipline.

Methodology

According to records provided by the Bureau and the Office of Municipal Investigations, several individual disciplinary actions were taken by the Bureau this quarter. Each of the disciplinary actions taken by the Bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. While none of the disciplinary actions indicated a modification to discipline based on past record, the Bureau’s previous performance in this area leaves them in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Paragraph 22 requires the PBP to establish disciplinary action files, or “performance files” at the zone level.
Methodology
The auditor’s team changed its audit process this quarter. Instead of randomly sampling officers’ performance files at selected zones, a complete sample was taken of one zone, Zone 4. Every performance file at the zone was reviewed for completeness. This review included:
• Officer’s name; • Record of complaints • Discipline imposed; • OMI File Number; and • A description of factors considered.
As with the requirement to assess use of force issues, the Bureau is in primary compliance with the stipulation of task 22: A series of chief’s orders has been promulgated (97-009 and 97-024), establishing a requirement for zone commanders to maintain “performance files” which conform to the requirements of the consent decree.
An assessment of the zones’ performance on this task indicates that the Bureau is also in secondary compliance with this task: systems for developing, transferring, disseminating, filing and managing officers’ performance files have been developed. Based on the complete sample of Zone 4 records, the Bureau is judged to be in operational compliance with the requirements of this task, as all officers with three or more complaints had indications in their files of counseling regarding the number of complaints received. A marked improvement over last quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual Performance Evaluation

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 24

Paragraph 23 requires the City to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

The Bureau has developed a performance evaluation policy which meets the requirements of the decree, and which was approved and disseminated in April, 1998. Training regarding the performance evaluation system has been completed. The second wave of performance evaluations has been completed. Based on the documents reviewed, it appears that the Bureau continues to be in compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 24 requires the City to use performance evaluations as a factor in promotional decisions.

Methodology

The Bureau has developed a performance evaluation policy which meets the requirements of the decree, and the policy was implemented in June, 1998. The Bureau promoted 17 individuals during the fifth quarter, and each of their performance evaluations was reviewed. No remarks, actions or characteristics were found in any of the 17 files that would have indicated inappropriate decisions were made in any of the promotions. No promotions were made during the sixth quarter.

Status:

Primary:

In Compliance
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Public Management Resources San Antonio, Texas

Secondary: In Compliance Operational: In Compliance

Page 25

2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL

Paragraph 25 requires the City to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.

Methodology

The auditor’s team visited one randomly selected unit location (Zone 4) to assess the degree of compliance with paragraph 25. During the site visit, the auditor reviewed zone performance files, and conducted walk through inspections of zone facilities such as bulletin boards and office space.

Evidence exists to support the Bureau’s operational compliance with paragraph 25. The review of zone “performance files” indicates that the EAP is being used by departmental personnel and departmental managers. The counselors assigned to the EAP were interviewed during the first quarter by the auditor’s staff, and appear to be both experienced and knowledgeable concerning EAP practice and standards. It appears that EAP participation is non-retributive and meets established practice for such programs.

Departmental policy requires the posting of EAP flyers at each of the zone stations, at the zone visited, the flyers were readily visible in the station.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page 26

2.16 Compliance with Task 26: Notification of Adverse Involvement

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SOEPCEORNATDIAORNYAL

Paragraph 26 requires the City to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the City to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

During the auditor’s review of departmental personnel files, the files were assessed for evidence of implementation of PBP Policy 44-5, effective 8-25-97, which requires notification of the chain of command any time:

• A warrant is to be served on a member of the service; • A protective order is to be served on a member of the service; • An on-scene arrest is made of a member of the service; • An officer is arrested by another agency other than the PBP; or • An officer of the service is the subject of a civil suit.

A review of Bureau records indicates that the Bureau continues to monitor its officers’ activities for adverse involvement. Notice of one settled and two dismissed civil cases is included in departmental records, and each is supported by a request for command staff of the affected officers to review the results of the litigation.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY Secondary Operational

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Page 27

Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the Bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.

Methodology

A review of records available during the time frame of the sixth quarterly audit indicated no criminal proceedings in progress against PBP officers; however, the Bureau has established an agreement with the District Attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel.4 Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum “detailing the results of the hearing.” PBP policy calls for these memoranda to be forwarded to OMI for their review.. Current plans call for the City to monitor court cases for criminal charges which are dismissed because of illegal searches or other illegal activity on the part of the police. In such events, OMI would, based on the dismissal, initiate an investigation of the officer’s actions. No cases have been noted in which these events have occurred.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.18 Compliance with Task 28: Settled Litigation

Sanctions for Officers Involved in

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY Operational
Secondary
Paragraph 28 requires the City to implement appropriate discipline “as the circumstances and OMI investigation warrant,” in all instances in which PBP

4 Anticipated criminal proceedings are expected against at least one officer during the next quarter. This officer was arrested by the Bureau during the fourth quarter, and criminal charges are expected.
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Page 28

officers are the subject of civil litigation.

Methodology

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation. During the sixth quarterly audit, the department received notification of settled litigation involving two Bureau officers. This case is currently under review by command staff. Findings are due by March 5, 1999. It is clear from the review that the department continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONA L
Paragraph 29 requires the City to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

Methodology

The auditor interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the Bureau, publishing legal bulletins, six during this quarter, and providing inservice training and remedial training for Bureau officers. The Bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance
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Page 29

2.20 Compliance with Task 30: Develop a Rotation Schedule

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP has developed a personnel rotation plan, and has implemented the first phase of the plan during the second quarter. The plan, supported by Chief’s Memo 97-550, has transferred 91 officers to other assignments through January 1, 1998. Additional officers continue to be transferred as part of this rotation policy, with 95 officers transferred in December, 1998, and an additional 157 officers transferred in September, 1998.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 31 requires the PBP to “make every effort” to participate in community meetings, including those oriented toward minority groups.
Methodology
The auditor reviewed monthly attendance logs for police zones for the months of November 16, 1998 through February 15, 1999. The logs show multiple community meetings attended by PBP personnel, although the volume of meetings is reduced, presumably due to the fact that community meetings are
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Public Management Resources San Antonio, Texas

Page 30

more sparse during the summer months. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the City to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. For the last two quarters, the City has developed and aired (on average eight times daily) on the City’s public access cable channel a professionally created video tape explaining OMI’s function in investigating complaints of alleged misconduct against City employees. The video covers all important aspects of the internal investigations process, and according to the City, reaches 105,000 households throughout the Pittsburgh area. Based on 2.7 residents per household (a national average), the video is reaching nearly all of Pittsburgh’s residents. The City is currently working with major television networks in the Pittsburgh area to carry Public Service Announcement regarding the OMI process. The City has also printed a brochure explaining the OMI function and has distributed the brochure to all of the City’s community organizations and placed these brochures in all City buildings.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page 31

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 33 requires the City to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.

Methodology

The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted a site-visit of the training academy, and have interviewed many of the personnel assigned to the training academy. The Bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 1998, the Bureau has continued to train its officers in the topics of cultural diversity, “effective communication” and ethics. To date, according to the Training Academy’s records, all Bureau personnel have received training in cultural diversity for the 1997-98 training cycle.

More importantly, perhaps, the department is currently engaged in a reengineering effort for its cultural diversity program. The revised curriculum for this topic is being developed by a Cultural Diversity Task Force Team, which will assist the training academy in developing the new curriculum. Research for the revised training curriculum is complete, and entails a careful analysis of demographics, linguistics, process and impact of diversity. This is exactly the nature of the processes identified as needed for operational compliance—moving beyond mere “letter of the law” compliance to a process of critically assessing the impact of tasks on the policing environment.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page 32

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 34 requires the City to establish monitoring systems which will assess citizens complaints for indicators of needs in training or re-training. The Bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.

Methodology

In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports.

It is clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. While the EWS is now operational, it has not been operational long enough for the command staff to have begun the process of using it to assess training needs.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 35 requires the City to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate
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Page 33

verbal de-escalation training “into all other training that implicates the use of force.”

Methodology

The City and the Bureau continue to make progress toward compliance with this task, and major new milestones have been met this quarter. The City is currently under contract with a nationally recognized consultant to deliver a series of classes on “verbal judo,” a process of verbal de-escalation which is recognized nationally as effective in reducing police-involved violence. To date, the Bureau has trained all but 125 of its 1,080 eligible officers in “verbal judo” and/or tactical communications.

The Bureau-wide process of reviewing all use-of-force curricula is currently continuing, in a joint program between the City Law Department and the Bureau of Police. One staff attorney from the City Solicitor’s office is working with Training Academy staff to develop a comprehensive review of the PBP’s training curriculum with respect to use of force training. The goal is development of a five-year training plan and a revision/rewrite of all aspects of the curriculum which entail police use of force—or avoidance thereof. The process has proven an effective policy review and revision mechanism, as it has removed the “neck restraint” and “neck restraint to retrieve narcotics,” two problematic use of force activities, from the inventory of acceptable methods of use of force. The “neck restraint” has been replaced with the Lateral Vascular Neck Restraint, and this process has been classified—appropriately—as deadly force.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 36 requires the City to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation “at the beginning of the training curriculum to serve as a foundation for all other classes.” No recruits were trained in the sixth quarter. The last recruit class offered by the PBP ran from May 19, 1997 through October 24, 1997. The recruit curriculum offered “ethics”
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Page 34

training in weeks three and four, human relations skills in weeks four and five, multi-cultural training in week six. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree. No new recruit classes have been offered since October, 1997, thus no additional audit of the recruit training curriculum was possible.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 37 requires the City to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the Bureau’s curriculum outlines for cultural diversity and ethics. In addition, the auditor has reviewed other curriculum components
which he asked to be forwarded for review. The Academy’s maintenance of training records for non-mandatory training has been substantially updated since the third quarterly report. According to academy records, all but 33 of the departments 1,0805 eligible personnel (97 percent) have received training in ethics.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

5 The Academy’s training records appear to have been cleared of retired officers, terminated officers, and deceased officers, bringing the total number of employees in the database to 1,080 currently working officers, and 19 officers on extended leave or other non-functional assignments.
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Public Management Resources San Antonio, Texas

Page 35

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 38 requires the City to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

The auditor assessed primary steps necessary to complete the tasks required by this paragraph. The Bureau has completed work on a script for a training video; the script has passed legal review, and the initial taping has been completed. An initial session was presented by the OMI manager to recruits. The training of “all officers” in the OMI complaint process has been completed for all but 19 officers, using a video tape, a training syllabus and an associated examination. Based on a review of the training records, the department has trained approximately 98 percent of its officers in the OMI process.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.29 Compliance with Task 39:

Encourage Qualified FTO

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL
Paragraph 39 requires the city to recruit “highly qualified” Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the City to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.
Methodology
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Public Management Resources San Antonio, Texas

Page 36

During the first quarterly report, the auditor selected slightly more than a 50 percent sample of the 25 newly appointed FTOs selected by the Bureau for its new recruits. Each of the 13 records selected was screened for poor disciplinary record, complaint history, and past performance. Given the Bureau’s delay in implementing paragraph 23 (performance evaluations) these evaluations could not be used in selecting the FTOs appointed in July, 1997; however, recent reevaluations of FTO performance included performance evaluations in the evaluation packet.

The auditor found all of the 13 officers’ files to be reflective of police careers that would recommend a role as an FTO. The field training officers’ records were clean of any civilian complaints that would require disqualification as an FTO. No new FTOs were appointed during the fourth quarter.

In addition, the auditor pulled a random sample of 15 PBP instructors’ files to assess completeness, accuracy, and conformance to established standards. Further, the auditor checked each instructor who taught at the Academy during the second quarter to ensure that they were certified to teach the subjects they taught during the quarter. Each file checked was complete, accurate, and organized as one would expect. All instructors checked were certified by the state—or other certifying agency—to teach the topics they were assigned.

No new FTOs have been appointed by the Bureau since July, 1997, thus the Bureau remains in operational compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40:

Train all FTOs and Instructors

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 40 requires the City to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the City require FTOs and instructors to “demonstrate on a regular basis, their proficiency in their areas of instruction.”

Methodology

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Page 37

The auditor reviewed the training curriculum for FTOs and instructors provided through contract for the PBP. All instructors and FTOs are first “instructor development certified” by either the Federal Bureau of Investigation or Indiana University-Pennsylvania. FTOs then receive an additional five days of training at the PBP Academy for specific FTO-related topics. The specific provisions of paragraph 40 requires “demonstration on a regular basis…[of] proficiency in their areas of instruction.” The Police Bureau requires a formal assessment, using two forms specifically designed for evaluation, of the FTOs. The first (“Field Training and Evaluation Program—FTO Critique Form) is a two-page evaluation completed by field trainees. The form evaluates FTOs relative to the trainees’ assessment of the FTO’s ability, interest, knowledge, skill, ability to communicate, and fairness. The aggregate data collected through this process is shared with the FTO by the Academy commander. In addition, the PBP assesses FTOs by requiring their supervisors to complete an evaluation form (Field Training and Evaluation Program—FTS Critique Form). This form requires supervisors to rate FTOs on their skill as a trainer, their ability to communicate, their fairness, promptness, and attendance. These data as well are shared with the FTO.

In addition, the Academy has begun a process of testing for all consent-decree and state mandated training classes. The Academy evaluates instructor proficiency through these test scores, assuming that effective instructors produce students who can pass Bureau and State exams. The process of testing for all consent decree-related training is relatively new; however, during the fifth quarter, more than 1,000 exam scores were reviewed by the auditor. The vast majority of test scores of PBP personnel were in the 85-100 range (of a possible 100). The examinations that the auditor reviewed indicated a close correlation between the instructor’s syllabus and the exams. Further, a review of the examinations indicated that they are substantive and not, on their face, overly simple or easy to pass.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 38

Paragraph 41 requires the City to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”

Methodology

The auditor conducted a thorough second-quarter review of the Academy’s training records during a site visit to the Academy. Selected training curricula were assessed, and specific documents were selected for further analysis. This included training records for state-mandated and consent decree-related training. These records now appear to be up to date and complete. The records are kept in useable format, and are managed by a sworn officer, adept in manipulation of the database, and capable of generating ad hoc reports. The records currently can generate reports by officer, training topic, hours, date and test score.

Changes to the Academy’s record-keeping processes are relatively new; however, this quarter’s assessment shows the records to be free from error, and to exhibit a “living” quality, i.e., they are updated frequently, and subjected to error checking and correction processes. The Bureau continues to be in compliance with this task. A review of training curricula and syllabi during the sixth quarter indicates continued adherence to national standards regarding documentation of the training process.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42:

Document Mandatory Counselings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 42 requires the City to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.
Methodology
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Public Management Resources San Antonio, Texas

Page 39

During the auditor’s review of data for the sixth quarterly report, the department’s centralized file which is used to document mandatory counselings was reviewed. Four records were found which required mandatory counseling for PBP officers. These mandatory counseling sessions were found to be reasonable, and designed to prevent future occurrences of problematic behavior.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Training

Annual Supervisory and Leadership

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 43 requires the City to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors The Bureau continues to move forward with training for its senior supervisors. All supervisors have received the updated ethics training being designed by the Bureau. Test scores for senior supervisors average in the high 80s.

It appears, from the records available at this time, that a majority of all senior supervisors have been trained at Pennsylvania State University’s “POLEX” command staff training program. An in-service component on “integrity” has been developed, and all senior supervisors have received this updated training, offered by one of the most respected names in the field.

The Bureau continues to avail itself of annual in-service training for command personnel, with topics including cultural diversity, ethics, and command accountability, although some topics are not received annually by all command personnel.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
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Page 40

2.34 Compliance with Task 44: OMI Quality Assurance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 44 requires the City to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available for OMI investigations from 1986 through 1997. Using this database, records of complaints for individual officers can be easily identified; however, assessment of complaint history on a routine basis, for all officers, is cumbersome and difficult. At present, the OMI manager prepares complaint histories using the EWS and Officer Management Databases.

Given several innate weaknesses in the OMI database, the system is currently scheduled to be re-written, transitioning it into a more suitable management tool.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

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Page 41

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 45 requires the City to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

The auditor has reviewed Chief’s Orders 97-009 and 97-024 which established the zone “performance files.” These orders required the creation of disciplinary files at the zone level which “contain all OMI and non-OMI complaints that have been filed against the officer,” (CO 97-009). CO 97-024 requires that performance files “shall be available to personnel within the officers’ chain of command who are responsible for the officers’ training, counseling, or discipline.” The auditor’s team visited Zone 4 and pulled a 100 percent selection of personnel and “performance files” for inspection. In addition, the files were assessed for reasonable accessibility for sergeants, lieutenants and commanders who supervise sworn officers.

The PBP continues to provide access to police officers’ files in an area of each zone station house which is accessible to sergeants and lieutenants working evening and night turns.

The files at Zone 4 files proved to be complete and accurate. All officers with more than three complaints had in their files evidence of appropriate notice and counseling with supervisory personnel.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page 42

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 46 requires the City maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the City to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be “identical” to that received by OMI police investigators. The paragraph further requires that the City make the OMI manual available for inspection at PBP facilities and at the OMI office.

Methodology

The auditor reviewed the OMI manual, as promulgated on December 1, 1997, for revisions and assessed OMI training documents. In addition, the auditor reviewed training records for OMI personnel. Records provided by OMI indicate that all civilian OMI investigators have received training during the sixth quarter, and the office continues to implement its training plan for investigative personnel.

The Office is in primary compliance with the requirements relating to promulgation of an OMI manual, and provision of training for OMI staff. In addition, the Office has developed an annual training plan for 1998-99, and made all suggested revisions in the OMI manual during the last quarter. No new revisions were made this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47:

Receipt of Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 43

Paragraph 47 requires the City to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.

Methodology

The auditor reviewed twelve of 21 completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were “required” to complete any OMI form prior to receipt of the complaint and initiation of the investigation. The revised OMI manual was assessed to determine levels of compliance with the stipulations of paragraph 47 and the consent decree. The OMI manual requires that complaints will be received via telephone, facsimile, mail, or in person, as well as anonymously. Revised OMI form 103-97 includes a checkbox for each receipt method.6 Further, the auditor assessed completed OMI complaint investigations to determine if complaints were being received in accordance with the decree.

Evidence was available in the completed investigations to indicate the particular method by which complaints were being received. Of the twelve investigations reviewed (of twenty-one citizens’ complaints completed this quarter) ample evidence existed of receipt of complaints via telephone, letter, and in-person.

Completed investigations were reviewed for any indication of requirements for complainants to complete forms prior to initiation of an investigation. None of the 21 files reviewed included any form completed by a complainant.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

6 Although some of the investigations completed this quarter used the old OMI 103-97, which does not have the check box for method of receipt.
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2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 48 requires that the City accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

Twelve completed OMI complaints were assessed for the source of the complaint. No anonymous complaints were resolved this quarter; however, based on the Office’s performance over the last several quarters, the City is judged to be in operational compliance with task 48.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49:

Closure of OMI Investigations

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.
Methodology
The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. In addition, a sample of 22 completed investigations over the last three quarters, was assessed
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to determine if any of the complainants in these cases had withdrawn the complaint. One such complaint was found, during the fourth quarter, in which the complainant signed an official “notice” of withdrawal of his complaint. The OMI investigation, nonetheless, was completed, and was thorough. No withdrawn complaints were found during the sixth quarterly audit, although one complaint was found in which the complainant refused any further contact with the Office. The complaint was investigated thoroughly, despite this refusal.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 50 requires the City to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the City publicize the new OMI location.

Methodology

During the second quarter, the auditor verified that OMI had been relocated, and assessed the relocation as meeting the requirements of the decree. The only element precluding operational compliance with section 50 of the decree, at that time, was lack of “notice” to the public of the relocation. During the auditor’s site visit for the fourth quarter’s audit, the level of notice of the relocation was assessed. The City has taken proactive steps to publicize the location or function of OMI since the last quarter. A public-access video has been aired detailing the Office’s new location, and thousands of brochures have been printed and distributed noting the Office’s new location. These brochures were available at all city buildings visited by the auditor this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 51 precludes the City from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the City to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The City is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings “in all City buildings.”
Methodology
The auditor reviewed twelve of the 21 citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a City facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes. The auditor reviewed attendance logs for OMI’s quarterly meetings (held between November 16, 1998 and February 15, 1999), and reviewed the newly revised OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings. Further, the auditor assessed completed OMI investigations to attempt to identify whether or not complainants were required to come to a PBP facility to register a complaint or make a statement.
The quarterly attendance logs indicate that OMI personnel have conformed to the requirement to attend quarterly meetings. While they offer to take complaints at these meetings, according to staff, no such complaints have been registered or investigated. The OMI manual, at section 4-1(B) stipulates that “OMI also accepts complaints during quarterly, off-premises meetings in rotating zones.” This quarter, the City advertised zone meetings in City buildings, and provided copies of publicity notices used to publicize the OMI quarterly meetings in City buildings. Further, the brochures printed by the City and the video completed and aired to all cable recipients, provides further information regarding identifying the location of zone meetings (by providing a contact name and a telephone number). While no logs were provided to ensure that “all City buildings” had posted notices of zone meeting dates, time and locations, the use of the OMI public-access video, coupled with the printed OMI brochure, gives, in the opinion of the auditor, ample
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notice allowing those interested to attend zone meetings. Further, it should be noted that each City facility the audit team visited this quarter had the OMI brochures prominently displayed in public areas.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 52 requires the City to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.

Methodology

The auditor attempted to track the paper trail from OMI to zone-level senior supervisors, and to find any evidence at the zone level of notification from OMI of use of force, improper search or seizure or racial bias. OMI does issues monthly reports identifying officers complained against, the type of complaint and a brief narrative. These reports are forwarded to the Chief of Police, and the Deputy Chief for Operations, and through them to the zone commanders. In addition, any complaint alleging racial bias is automatically forwarded to the Human Relations Commission (although this process is not treated in the new OMI manual).

During this quarter’s site visit, the auditor was able to track a “paper trail” of notice to senior supervisors of complaints filed by citizens, noting dissemination of quarterly and monthly OMI reports to senior supervisors of the Bureau of Police. In addition, notice is sent to each zone, and filed in the zone performance file, of OMI investigations of allegations against officers assigned to the zones. This includes all allegations, including those of improper use of force, search and seizure and racial bias.

The Bureau is deemed to be in operational compliance for task 52.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

2.43 Compliance with Task 53: Investigation

Responsibility for Complaint

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 53 requires the City to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to “settle” OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.

Methodology

The auditor reviewed the OMI manual for sections relating to paragraph 53, interviewed OMI personnel, and reviewed OMI case files for any indication of incompleted or “withdrawn or settled” OMI cases. Section 2-1 of OMI’s new manual charges OMI with jurisdiction to “investigate all personnel of any department of the City of Pittsburgh...” and specifically notes the departments over which OMI has investigative authority, including the PBP. A review of twelve of the 21 completed OMI investigations for this quarter reveals no evidence to indicate that the City does not remain in compliance with this task. No cases were found in which the complainant officially notified OMI of his desire to withdraw his complaint, although one complaint was noted in which the complainant, after filing his original complaint, refused to have any further contact with the office. OMI investigated this complaint thoroughly.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Number on Request

Officers to Provide Name and Badge

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, “Conduct Toward the Public” requires that “when requested by any person, a member shall give his name and badge number in a courteous manner.”

Methodology

The auditor reviewed a sample of completed OMI cases for the sixth quarter (November 16, 1998 to February 15, 1999) to determine if allegations of failure to provide name and badge number were made to OMI. Two allegations of failure to provide badge numbers and names were found. Of the two, one allegation was sustained.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.45 Compliance with Task 55: Alternative Sites

Interview of Complainants at

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants “off-site,” if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted “off site.” Among the twelve completed investigations assessed during this quarter, ample evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ home) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the Office.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

2.46 Compliance with Task 56: Interviews

OMI to Tape and Transcribe

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept “special reports” in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

The OMI manual stipulates a “Tape Recorded Statement Form” and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed twelve (of 21) completed investigations of citizens’ complaints provided by OMI based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases included transcriptions of OMI interviews of officers, witnesses or complainants.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57:

OMI Staff Access to EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 57 stipulates that OMI staff should be provided access to the City’s Early Warning System. The acting director of OMI has been trained in the use of
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the EWS; however, he has not yet begun to use the system as a tool in planning or executing investigations.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.48 Compliance with Task 58:

OMI to Interview Supervisors at

Scenes of Incidents Leading to Allegations of Misconduct

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

As noted in the first auditor’s quarterly report, the OMI manual contains language concerning the need to interview senior supervisors and supervisors; its revised version requires OMI investigators to determine the supervisors’ “handling of … situation[s] during and after the alleged incident[s]” and their “observations of the complainant[s] and the accused officers.”

Further, OMI case reports which were reviewed were assessed for any evidence that the investigator had attempted to locate any potential supervisors at the scene. None of the twelve cases reviewed during the sixth quarter produced an indication that supervisory personnel were present. Based on previous performance, however, the City remains in compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.49 Compliance with Task 59:

OMI to Canvass for Witnesses

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 59 requires OMI to canvas the scene of an incident for witnesses “as soon as possible” after receiving a complaint where canvassing could “reasonably yield” additional information.

Methodology

The auditor reviewed the OMI manual, Section 6-1G, which requires neighborhood canvasses, “as soon as possible” after receiving a complaint. Case tracking forms also include a “check off” box for witnesses located through the canvassing process.

The auditor reviewed a sample of twelve completed OMI cases for the sixth quarter (November 16 through February 15, 1999) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Of the twelve cases reviewed, all included documented efforts to reach witnesses.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60:

OMI to Review Police Shootings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.
Methodology
The auditor assessed, through departmental records, the number of policeinvolved shootings which occurred during the sixth quarter and found one. The
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Office reviewed this shooting, using a newly developed officer-involved shooting protocol. The Office is judged to have remained in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: Allegations of Misconduct

OMI to Aggressively Investigate

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL

Paragraph 61 requires that OMI investigators “aggressively” investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed a 50 percent sample of OMI investigations completed from November, 16 1998, to February 15, 1999, to assess the level of compliance with paragraph 61.

The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting. Further, training for OMI personnel was also reviewed, as, in the auditor’s opinion, training is the key to acceptable performance. During the sixth quarter, personnel assigned to OMI continued to experience a substantial increase in training.

Of the twelve investigations assessed for the sixth quarter, all appeared to have been professionally conducted, and to meet minimum standards for professional internal investigations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.52 Compliance with Task 62: Four Corners”

OMI to Act on Behavior “Outside the

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled “outside the four corners” of the original complaint.

Methodology

The auditor reviewed the OMI manual for reference to the requirement to note conduct “outside the four corners” of the complaint which violates departmental policy or procedures. The OMI manual refers to such complaints as “collateral misconduct,” and stipulates in Section 6-8 that “if, during the course of an OMI investigation, an OMI investigator has reason to believe that … collateral misconduct [occurred] the investigator must investigate and make findings with regard to such collateral misconduct.”

The auditor also reviewed a 50 percent sample of citizens’ complaint investigations completed by OMI between November 16 and February 15, 1999. Each complaint was evaluated to determine if any behavior could be noted that would be “outside the four corners” of the original complaint. Three were found which could result in allegations of collateral misconduct. All three were properly investigated by OMI staff, and one resulted in a sustained “collateral misconduct” charge regarding off-duty employment

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.53 Compliance with Task 63: OMI to Issue Final Reports

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.

Methodology

The auditor reviewed a sample of twelve investigations completed by OMI between August 15 and November 16, 1998. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Each of the twelve files assessed contained evidence of substantial improvement in form, style and substance. All requisite reports, checklists, forms and documentation were present in each of the twelve. All investigations were conducted in a manner that meets minimum standards for internal investigations, and some of the completed investigations could be used as “teaching tools” for new investigators.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 64 requires the City to provide OMI with “sufficient staff, funds and resources to perform the functions required” by the decree, and establishes requirements for selection as an OMI investigator.
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Methodology
During the first quarterly audit, the auditor conducted a routine desk audit of OMI practices, caseload and work product. OMI is currently authorized a staffing level of four full-time investigators assigned to Police Bureau cases. Case loads for the four OMI investigators have risen steadily over the past year. The Office was receiving approximately 90 new cases per quarter in 1997. That number increased to almost 190 new cases in the fall of 1998, and has dropped to approximately 130 new cases per quarter now.
Some progress has been made by tightening up the management control of investigations: providing needed training for investigators and managers, and by providing a full-time intake coordinator’s position—which removes investigators who are in the office writing case reports from telephone duty. The intake coordinator also provides other services which free up investigators for case work. In addition, the City Solicitor has received approval to increase OMI staff by two police-only investigators. This enhanced staffing, if completed as requested, will result in a 75 percent increase in OMI staff, buttressing four police-only investigators with an intake coordinator and two additional police-only investigators.
Productivity of the Office reflects a “new systems” flavor. It jumped significantly during the fourth quarter, with twenty-two completed case investigations, an increase of 550 percent over the previous quarter. Fifth quarter productivity dropped 45 percent, to 12 completed cases. Sixth quarter performance is back in line with earlier levels, with 21 cases completed this quarter. This can be considered “normal” for organizations internalizing new systems, and can be expected to continue for another few months. The addition of two new investigators can be expected to increase this productivity to approximately 30 cleared cases per quarter.
Case backlog for the Office continues to be troubling, however. Currently, the office has a backlog of more than 430 cases, and case intake currently outpaces case completion by a six-to-one ratio. Many of the older cases in the OMI backlog were filed nearly two years ago. The Office should carefully consider how it will complete these pending investigations, maintain pace with new intakes, continue its new-found level of quality, and institutionalize its new management processes.
Staffing is, of necessity, a decision made carefully; however, the auditor remains of the opinion that, currently, inadequate staffing levels are present in OMI to handle existing and anticipated workload, although plans have been made and partially implemented to improve this situation.
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Public Management Resources San Antonio, Texas

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

Page 57

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL

Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology

The auditor reviewed the OMI Manual of Policy & Procedure, which states at Section 7-4 that “all findings by OMI shall be based upon the ‘preponderance of the evidence standard.’” The revised (5/98) document defines this standard for the reader, using applicable civil law definitions. Despite this guidance, which, in all fairness was made available to investigators only May of 1998 (despite an erroneous date on Section 7-4 of 11/97)7, OMI investigators appear to have begun to use the preponderance of evidence standard in developing their conclusions.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

7 Section 7.4 of the OMI Manual was revised in May, 1998 to provide a more complete definition of “preponderance of the evidence.”
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2.56 Compliance with Task 66: Statements

Apr 97 Q1

Q2

No Preference for Officers’

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL
Paragraph 66 stipulates that “there shall be no automatic preference of an officer’s statement over a complainant’s statement,” and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed the OMI Manual of Policy and Procedure for references to preferences to officer’s statements, and found a reference in the revised (5/98) Section 6-9. There were also references to credibility determinations (Section 69) which conform to the requirements of paragraph 66.

In addition, the auditor reviewed twelve of the 21 OMI investigations of citizens’ complaints completed during the sixth quarter for conformance to this requirement. In each of these twelve, credibility assessments were documented in the final report. None of these were found to give preference to the officers’ statements.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.57 Compliance with Task 67: Authority

OMI Retains Final Investigative

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining
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findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between November 16 and February 15, 1999, searching for a case which resulted in a sustained finding, with evidence of a “reversed” OMI finding by a supervisor or senior supervisor. No such evidence was found. The City is deemed in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Resolved”

Change “Not Sustained” to “Not

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 68 requires the City to change the OMI disposition category of “Not Sustained”

Methodology

The auditor reviewed the OMI manual, which stipulates at 7-1B, that cases which generate “evidence that is insufficient to prove or disprove that accountability standards have been violated” will be classified as “Not Resolved.” Further, the auditor assessed all completed OMI investigations for the period November 16, 1998 through February 15, 1999, to determine if the disposition of “Not Resolved” was appropriately used. In the two cases reviewed that produced evidence which should be classified as “Not Resolved” both case were so classified. The City continues to be judged in compliance with this task. The Office should pay particular attentions to the “rules of classification,” however, to ensure that cases continue to be correctly classified, particularly relating to “not resolved” findings versus “unfounded” findings.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

2.59 Compliance with Task 69:

OMI to Issue Quarterly Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the Decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.
Methodology
Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December 4, 1997. The City is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the City is considered to be in operational compliance.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Assurance Checks

Auditor to Perform Quarterly

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

• OMI final reports; • Substance and timeliness of 50 percent of all OMI investigations completed; • Statistical information on the number and types of complaints filed with OMI; • Statistical information on discipline imposed on sustained complaints; • Assessments of officer use of force, searches and seizures, and traffic stops.

Methodology

Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The nature of the reporting process is currently under discussion among the parties and the auditor, and full reporting on these issues is anticipated for the seventh quarterly report.

2.62 Compliance with Task 72:

Auditor to Recommend Reopening of

Incomplete OMI Investigations

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete. Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed twelve of the 21 OMI investigations of citizens’ complaints completed between August 16 and February 15, 1999. All completed investigations reviewed for the sixth quarter were conducted in a manner which meets minimum standards for professionally conducted internal investigations. Some completed investigations were suitable for use as training devices for new investigators. The auditor also reviewed one case which was designated for reinvestigation during the first quarter, and has been processed for re-review by OMI. This case was not satisfactorily re-opened, and has been forwarded to OMI
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Page 62

for further consideration, with specific notes regarding needed investigative process.

2.63 Compliance with Task 73: City to Prepare Progress Reports

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter. The first report was issued July 11, 1997; the second was issued January 16, 1998. The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The City remains in compliance with the requirements of task 73

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.64 Compliance with Task 74: City to Maintain Records Necessary

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 requires the City to maintain all records necessary to document their compliance with all terms of this decree. Further, it requires the City to maintain records required by or developed under this decree.

Methodology

The auditor asked for all pertinent copies of records required to document compliance with the decree, and received same in a timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.65 Compliance with Task 75: Unrestricted Access for Auditor

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 75 requires the City to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto. Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

During the course of development of the first Auditor’s Quarterly Report, the auditor made dozens of specific requests of the City, OMI and the Pittsburgh Bureau of Police. All requests were responded to in a professional and timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76: Unrestricted Access for Justice

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 76 requires the City to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree. Further it requires access to staff and facilities upon appropriate notice.
Methodology
During the course of the implementation of this decree, the Department of Justice has made numerous requests for information, data and access. These requests have always been honored.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.67 Compliance with Task 77: Copies of Consent Decree to All Officers

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 77 of the decree requires the City to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations. All such individuals are further required to sign a statement indicating that they have received, read and understand the statement. The City is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the City acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video8. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the City’s approach to compliance. Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

8 Officers on extended leave and who are otherwise excused for duty for extended periods of time have not viewed the video, nor have they signed the statement of understanding.
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2.68 Compliance with Task 78: 90 Day Timeline for Conformance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree.
Methodology
Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the EWS. The City is currently in primary compliance with 100 percent of the 749 provisions to which the City should have complied by now. The City is in secondary compliance with 66 of the 74 provisions due as of August 15, 1998. It is also in operational compliance with 58 of the 74 tasks, due as of August 15, 1998.10

9 Two of the 76 tasks in the decree accrue to the auditor. 10 The auditor was unable to audit four secondary and operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., no promotions during the quarter or no completed disciplinary action reports during the quarter, etc.
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3.0 Summary
The City, the Bureau and the Office of Municipal Investigations have improved compliance with the elements of the consent decree during the last quarter. They have continued to take a professional approach towards the decree, insisting on complying with both the letter and the spirit of the decree, and moving with deliberate speed to ensure compliance. All of the auditor’s requests for information have been responded to with rapid compliance, and the routine response of the City to the auditor’s suggestions has been to implement them enthusiastically. The City and the Pittsburgh Bureau of Police are nearing the end of the first phase of one of the most complex organizational change projects in the history or American policing. The consent decree has outlined changes to nearly every administrative component of the Bureau. As the first phase ends, the second phase calls for Bureau personnel to begin to institutionalize the changes forged under the first phase. The City and the Bureau continue to pursue both the letter and the spirit of the decree. The City has recorded a primary compliance rate of 100 percent, a secondary compliance rate of 89 percent, and an operational compliance rate of 78 percent.11 While a substantial amount of work remains to be done, the City is making steady progress toward complete compliance.
11 The auditor was unable to audit four operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., quarterly reviews of Bureau actions using the EWS etc. Thus, the auditor found the City in operational compliance with 55 of the 70 tasks which could be audited this quarter.
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 Auditor’s Seventh Quarterly Report Quarter Ending May 16, 1999

Page 1

1 Introduction
This document represents the seventh of an anticipated 20 “Auditor’s Quarterly Reports” (AQR) assessing the levels of compliance of the City of Pittsburgh (City) with the requirements of the consent decree (decree) entered into between the City and the United States Department of Justice (Justice) on April 16, 1997. This report is submitted in July, 1999, upon the agreement of all parties, to allow inclusion of additional data, reported in section 2.61, that would not have been available otherwise. The document consists of three sections, identified below:
• Introduction; • Compliance Assessment; and • Summary.
The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of “compliance” are described in Section One, “Introduction.” Section Two, “Compliance Assessment,” includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, “Summary” provides an overall assessment of the City’s performance for this quarter.
1.1 Overall Status Assessment
1.1.2 Dates of Project Deliverables
Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the City; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.
1.2 Format for Compliance Assessment
The AQR is organized to be congruent with the structure of the consent decree. It reports on the City’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated “early warning system” (EWS). The following components of the decree are treated similarly. For each section of the decree, a graphic
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representation of the City’s compliance status is presented. The graphic is

designed as follows. The “label” depicts the start date for the City’s compliance

actions (almost always April 16, 1997). The blue bar, below the label,

depicts the time allotted, by the decree, for the City to comply with the decree.

The light blue, yellow, orange or red bars, below the blue bars indicate the time

expired since the start date. The vertically patterned light blue bars

indicate expired time equal to or less than that allowed by the decree. The

checkered Yellow bars

indicate expired time that is more than that

allowed by the decree, but which, in the judgment of the auditor, does not

seriously threaten the City’s successful compliance with the decree. The

horizontally patterned Orange bars

indicate expired time that is more

than that allowed by the decree, and which, in the judgment of the auditor, may

seriously threaten the City’s successful compliance with the decree. Red bars

indicate expired time which is more than that allowed by the decree, and

which, in the judgment of the auditor does seriously threaten the City’s

successful compliance with the decree.

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Compliance is classified as primary, secondary and “operational,” with the definitions specified in Section 1.4, below.
1.3 Compliance Assessment Processes
1.3.1 Structure of the Task Assessment Process
Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:
• Selection of a random sample, or
• Selecting all available records of that type.
Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided
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with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.
The performance of the PBP and the City of Pittsburgh (City) on each task outlined in the consent decree was assessed by the auditor during the quarter ending May 15, 1999. In order to allow time for completion of the report, the auditor completed assessment activities on May 7, 1999.
All determinations of status for the City and the PBP are data-based, and were formed by review of the following types of documents:
• Official PBP documents prepared in the normal course of business; • Official Office of Municipal Investigations (OMI) documents prepared during
the normal course of business; and/or • Electronic documents prepared by the City or components of City government
during the normal course of business.
Where practicable, documentation forming the database for this audit were selected by the auditor and the auditor’s staff directly from PBP, OMI or City files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints were assessed by reviewing OMI files, OMI electronic files, and zone performance files.
1.4 Operational Definition of Compliance
For the purposes of this audit, “compliance” consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to “comply” as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the Bureau.
During this quarter of the decree, the City, the Bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.
Substantial progress has been made during the seventh quarter, including progress in the critical areas of training and crafting systems of documentation of compliance efforts, as well as in development of an operational EWS. In
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addition, significant progress has been made in the area of OMI operations and management.
2 Assessment of Compliance
2.1 Methodology
The auditor assessed the City’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and “operational” (see section 1.4, above).

The following sections of the seventh Auditor’s Quarterly Report contain a detailed assessment of the degree to which the City has complied with the 73 tasks to which it agreed on April 16, 1997.
2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the Decree requires the City and the PBP to automate the database tracking system currently in use to track police officer behavior, and to add functionality to the system, transitioning it to an “early warning system” (EWS) which will assist the Bureau in identifying and managing officer behavior which may be problematic.
In order to accomplish this task, the City has formed a “protocol committee,” and charged this committee with responsibility for defining policies, procedures, manual and automated systems, and oversight practices for each of required elements of the EWS. The decree requires development of protocols in the following areas:
• Citizens’ complaints; • Officer-involved shootings; • Criminal investigations of officers; • Civil or administrative claims arising from PBP operations; • Civil claims against the PBP; • Law suits against the PBP; • Warrantless searches by officers;
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• Use of force by officers; • Traffic stops by officers; and • Discretionary charges filed by officers.
The City has completed work on the various protocols designed to serve as policy guidance for the Early Warning System.
Further, the City has implemented a supplementary supervisory device, the Supervisor’s Activity Report (and supporting policy and training), which requires supervisors to provide an on-scene presence at selected patrol activities conducted by personnel under their command. The process requires supervisors to exhibit a field presence, assessing the quality of work of patrol officers regarding performance, adherence to policy and procedure, use of equipment, safety practices, communication skills, or exhibition of prohibited bias. Further, the form requires the supervisor to note recommended actions to remedy any deficiencies noted. The auditor has reviewed each of the City’s protocols, and has assessed their viability in sections 2.2-2.6, following.
Recent developments include implementation of a “production version” Early Warning System, consisting of an Officer Management System component which allows PBP command and supervisory personnel to monitor the activity levels of their personnel. The production version of the EWS has been in-place—and under near-constant review and revision—since October, 1998.
Methodology
During the site visit for the seventh quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using the “live” database from the operational EWS.
The City now has a “production” version of the EWS on-line and operational, as of November. Entry of pre-consent decree information (from September, 1995 forward) has been completed and is accessible through the EWS database. While the database has been “released” for daily use of PBP personnel, problems persist in some components of the reporting subroutines. For example, the Officer Management System has developed a “repetitive reporting” bug, which causes the system to report as “new,” already reported citizens’ complaints. The results are supervisors’ “hot blotters” which indicate that some officers have multiple complaints, when, in actuality, the officers have one complaint, reported numerous times in the OMS. Final work on the reporting formats for the EWS report graphics, which will have pie charts accompanied by numerical data, has not yet been completed.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

To gain operational compliance with this task, the City would need to remedy existing “bugs” in the reporting software, and conduct at least one quarterly analysis, using the EWS and the Officer Management System, and take remedial steps, if indicated, based on that quarterly analysis.

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the decree requires the City to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.
Methodology
During the site visit for the seventh quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” and a “training” database from the operational EWS.
The City’s EWS is currently on-line, and reports electronically officer status on each of the elements required by the decree. The system is a well-designed, “user-friendly” reporting system that appears to be at the leading edge of the field of officer management software. The Bureau and the City are judged to be in secondary compliance with task 12-a. The Bureau and the City continue to inspect and audit the records in the EWS, and quality control is an on-going process. In-place inspections and audit are required components of secondary compliance. Assessment of operational compliance cannot come until the EWS has been operational long enough to assess the degree to which supervisory and command personnel actually use the system to review and assess officer activity. Interviews conducted with supervisory personnel and command staff indicate that the duplicate reporting issues noted above have precluded many supervisors
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from using the system as anticipated. No quarterly analyses have yet been conducted. The first such analysis is scheduled for the week of August 2, 1999.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

To gain operational compliance with this task, the City would need to conduct at least one quarterly analysis, using the EWS and the Officer Management System, and take remedial steps, if indicated, based on that quarterly analysis. The first quarterly analysis is planned for the week of August 2, 1999.

2.2.2 Assessing Compliance with Task 12-b: Nature of EWS Retrieval Systems

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-b of the decree requires the City to build into the EWS the ability to retrieve information from the EWS by officer, squad, zone, unit, and the execution of “discretionary arrests.”1
Methodology
During the site visit for the seventh quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS conference room, using a “live” database from the operational EWS.
A review of the capabilities of the EWS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. A total of 16 separate tests were performed, using the EWS and its supporting OMS. The OMS reported accurately in each of the 16 separate tests, and the EWS accurately reflected the data contained in the OMS. The problem with duplicate reporting, evident in the OMS, is not carried forward into the reporting formats of the EWS. The command staff notification system (red and yellow “flags” for officers registering more than one standard deviation above the mean) reported accurately during the testing. Modifications to the EWS are

1 Defined by the decree as resisting arrest, disorderly, public intoxication, and interfering with the administration of justice.
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being made to allow tabular data to be reported along with graphic information in the EWS. The City and the Bureau are judged to be in secondary compliance with task 12-b. An assessment of operational compliance cannot be conducted until the system has been in place long enough to assess supervisory and command staff use of its capacities.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

To gain operational compliance with this task, the City would need to conduct at least one quarterly analysis, using the EWS and the Officer Management System, and take remedial steps, if indicated, based on that quarterly analysis. The first quarterly analysis is planned for the week of August 2, 1999.

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-c of the decree requires the City to archive the records in the EWS for three years after the involved officers’ separation from service, and that all records be archived indefinitely. In addition, it requires the City to enter all relevant data for three years prior to April 16, 1997.
Methodology
During the site visit for the seventh quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS police systems room, using a “live database” from the operational EWS.
Data retention protocols for the EWS have been established which will meet the requirements of task 12-c. Data entry for the EWS for information related to Bureau activities prior to April 16, 1997 have been completed for all data that could be found which were accurate. In some cases, this does not include all data between April 15, 1995 and April 16, 1999; however, the data that do exist in the EWS are the best available accurate data, based on information obtained from the City, the Bureau and the Computer Information Services department of
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the City. After implementation of the EWS and Officer Management System during the fifth quarter, some data which had been entered into the system were found to be inaccurate. The City has implemented steps to begin cleaning that data, and inaccurate data are being eliminated from the system. This major process of cleaning existing data was not completed, as of the auditor’s last site visit, in May, 1999. While persistent redundant data reporting continues to plague the EWS, as of this report cycle, the issue keeping the City from operational compliance with this task is inaccuracy of existing data, not redundant reporting. Resolution of this issue with inaccurate data, however, would move the Bureau and the City to operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

In order to gain compliance with this task, the City will need to ensure that 95 percent of all data in the EWS and in the Officer Management System are accurate.

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-d requires the City to develop a protocol for use of the EWS that would:
• Establish trigger thresholds for review of officer records by senior supervisors; • Establish requirements for frequency of review of officer records by senior
supervisors; • Establish the types of corrective actions to be taken by senior supervisors; • Establish confidentiality and security provisions for the EWS; • Establish requirements for quality assurance checks of data input; and • Have the protocol submitted for review 30 days before implementation.
The City has developed protocols for use of the EWS, including those controlling:
• Weapons discharges by a Bureau member; • Citizens complaints;
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• Civil claims arising from Bureau operations; • Initiation of criminal investigations against Bureau members; • Lawsuits arising from Bureau operations; • Reporting subject resistance incidents; • Trend analysis; • Processing allegations of untruthfulness, racial bias, domestic violence, and
physical force;
• Managing search and seizure activity; and • Reporting and review of traffic stop and arrest data.

These protocols have been reviewed by the auditor, and found to be reasonable and effective responses to the requirements of the consent decree, and in fact, in many cases, to move beyond the requirements of the decree. The protocols also address the supervisory and managerial responses required by those reviewing officers’ actions. These protocols are under review by the City, with substantial revisions planned. Once the revisions are completed, the auditor will review and assess the additions and deletions or other changes in the protocols.

Methodology

During the site visit for the seventh quarterly audit, the auditor reviewed the operational EWS for conformance to the requirements of the decree. The review was conducted in the City’s CIS police systems room, using a “live database from the operational EWS.

Now that the EWS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the EWS by the consent decree. The operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer behavior, in compliance with the requirements of the decree. The system has not been operational long enough to allow a quarterly analysis of required issues, thus, the City is judged to be in secondary compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

To gain operational compliance with this task, the City would need to conduct at least one quarterly analysis, using the EWS and the Officer Management System, and take remedial steps, if indicated, based on that quarterly analysis.

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2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY
OPERATIONAL
Paragraph 13 requires the City to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the City to submit the policy to Justice for approval prior to implementation.
Methodology
The auditor has reviewed the PBP’s use of force policy, which was completed prior to the deadline, and has assessed the policy for conformance to national standards and applicable law. The newly drafted policy, effective August 15, 1997 is well written, and is designed to allow the Bureau to control effectively the use of force by the Bureau’s officers.
Promulgation of the policy and the necessary training to implement it have been completed. Reporting and supervisory review processes have been implemented, and the Bureau’s Subject Resistance Reports have been developed, disseminated, and implemented, and are currently being completed by PBP personnel.
Further, the auditor conducted a thorough review of a random sample of 30 Subject Resistance Reports—based on 17 incidents--completed by PBP personnel during the quarter. This quarter’s review of the SRRs was based on a larger sample than normal (17 percent v. 10 percent) due to a reduction in the number of SRRs received by the Bureau during the seventh quarter. The review conducted by the auditor indicates an acceptable level of command review, suggested by the fact that numerous reports were noted in which requests for additional information or re-writes of SRRs were made by supervisory, command or executive staff. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.
Other factors also indicate that the monitoring of use of force at the Bureau is taken seriously.
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• First, the SRR forms continue to indicate an active supervisory presence on the street, where use of force generally occurs;

• Second, the files reviewed continue to indicate an apparent under-use of force on the part of the officers of the PBP, e.g., multiple instances in which the articulated facts supported higher levels of police force than was used; and

• Third, evidence exists, in the form of follow-up memoranda from some commanders, which indicates that some commanders carefully review the process of use of force.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 14 requires the City to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.
Methodology
The auditor has reviewed PBP policy 45-1, “Strip and Body Cavity Searches.” The policy conforms to all requirements of the decree, and was promulgated and effective November 10, 1997. A review of the training records of the Bureau indicates that, as of May, 1999, the department had trained all but 19 of its officers in search and seizure topics, including strip search and body cavity
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searches.2 In addition, the auditor has reviewed a randomly selected sample of 52 completed “Field Contact/Search/Seizure Reports” (FCSSRs forms generated between February 16 and May 15, 1999). None of these reports dealt with a strip search. In addition, the auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and found that none reported a strip search. As noted in earlier quarterly audit reports, however, the department has established an effective review policy, and has, in the past through its inspections and audit process, noted the conduct of strip searches which fell outside of policy. The officers conducting these inappropriate strip searches were retrained, in addition to receiving written memoranda regarding their actions. The Bureau is judged to remain in operational compliance on this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions

PRIMARY SECONDARY OPERATIONAL

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

Paragraph 15 requires the City to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
The City has conformed to paragraph 15 through development of several related policies, each of which requires a written report any time a police officer performs any of the above-listed actions. In addition, these protocols are supported by specific policies (12-6, Use of Force, 45-2 Warrantless Searches and Seizures, and 45-1 Strip and Body Cavity Searches). Each of these policies stipulates specific reporting procedures that are in conformance with the requirements of the decree, c.f., policies 12-6 @ 6.6, 45-1 @ 5.1, and 45-2 @ 3.1. The Department of Justice has approved these protocols viz. a viz. the decree (Use of Force on August 4, 1997 and Search and Seizure on November 10, 1997) based on the City’s submission on July 16, 1997. The Search and Seizure
2 The only officers not yet trained are those on extended medical, or similar, leave, and not performing law enforcement functions.
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protocol approval was delayed by discussion between the City and Justice regarding specific provisions.

Methodology

The auditor reviewed training records for search and seizure and use of force topics. In addition, a randomly selected sample of Subject Resistance Reports and Field Contact/Search/Seizure Reports was reviewed to assess the level of accuracy of reporting and supervisory review for these reports. A sample of SRRs written on 52 incidents was selected for review, constituting a ten percent sample of all SRRs for the quarter.

Training regarding Use of Force reporting was completed during the fourth quarter, and the reporting forms and guidelines have been implemented. Subject Resistance Reports are being processed by the department, and the day-to-day operation of controlling use of force by PBP officers appears to moving forward.

During the fourth quarter, training for “all officers” in search and seizure policies was substantially completed. As of May 15, 1999, all of the Bureau’s 1,080 active-duty officers had been trained in search and seizure policies, except those on extended medical, or similar, leave. All had received a passing score on the content examination given by the training academy.

The average review time for all SRRs is still well within the required seven day period (at three days), and evidence exists to indicate that the supervisory review is an active review, often requiring additional information, re-writing of reports, or other actions on the part of the originating officer. A total of three of the 52 SRRs reviewed for this quarter had some form of reporting problem. One of those was a delay in command review that, in fact, was attributable to a commander finding problems with the report during the initial review process, and requesting additional information or corrections. Thus, only two reports were found which did not meet the requirements of the decree. One of these had been noted by command staff, in their review, and corrections—as well as retraining—was requested for the reporting officer. The “error rate” of one report of 52 falls well within the required 95 percent compliance rate for critical areas of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.6 Assessing Compliance with Task 16: Reporting Traffic Stops

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 16 requires the City to establish reporting requirements each time a police officer makes a traffic stop. The City has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The Bureau has begun collecting traffic stop data, using the form designed by the City. These data are available at the Zones, and have been entered into the EWS. Assessment of traffic stop information was not possible for this quarter, as the tabular data from the EWS regarding traffic stops was not available through the EWS as of this audit cycle. The EWS system has not been in place and operational for a sufficient period of time to allow the electronic audit of traffic stop information this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 17 requires the City to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The City has developed protocols requiring such entry. The automated EWS has begun accepting data on police use of force and searches, and traffic stops are currently being entered into the system, as well. Data entry for pre-decree activities has been completed, although some data were not available, or were deemed inaccurate, and thus were not entered into the system. All pre-1998 data that were available and considered accurate have been entered into the EWS system, and are included in that system’s reports processes. Some data that were released through the “production” version of the Officer Management System were found
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to be inaccurate, and are currently being updated by CIS staff. A “repetitive reporting” problem also exists in the Officer Management System, as discussed in section 2.2, above.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8 Assessing Compliance with Task 18: Audits of Use of Force

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 18 requires the City to cause supervisors and senior supervisors to conduct “regular audits” of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.
Methodology
The audit team conducted a random selection of 17 incidents resulting in the completion of “Subject Resistance Reports” (a 17 percent sample of incidents for this quarter). The policy requires PBP officers to complete a SRR any time they use force to subdue a subject. Each of the reports selected was reviewed to ensure that the:
• Form was properly executed; • Form was reviewed by supervisors and senior supervisors within one week; • Supervisory review identifies problems with the use of force, where
appropriate; and • The review process is being implemented as required by the decree.
The results of the review indicate that the City is in primary compliance with the requirement of the decree: the policy regarding use of force reporting has been written and disseminated; the forms are being completed and reviewed; the forms are being forwarded to the training academy and to the administration division; and the forms are being filed as would be expected.

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The City remains in secondary compliance with this task. Of the 52 SRRs reviewed, based on 17 incidents, all but one was appropriately reviewed. This report involved a seizure of contraband during a “pat down” search. An error rate of one of 52 reports is acceptable, falling within the 95 percent accuracy requirement established for critical tasks, at 98.1 percent.

In addition, the City is currently assessing Section 18-a of the consent decree, which requires an OMI investigation of use-of-force incidents which result in “serious injury,” which is defined (at 11-f of the decree) as “any injury that results in death or that the City has reason to know requires or results in professional medical care or treatment” (Decree, p. 5). Five of the SRR reports reviewed by the auditor indicated that the subject arrested received medical attention at hospital. One of these injuries was attributable to OC spray decontamination at hospital, and two were attributable to restraints used on the suspect. One involved the use of an impact weapon. OMI selected each of the injury-related SRRs review this quarter. Current OMI practice is to select for investigation all SRRs reporting professional treatment at hospitals. Currently, the City is working to resolve this implementation issue. The potential re-interpretation of “serious injury” has been referred to the City Solicitor’s Office and the Department of Justice. Until this area of the decree is better-defined, however, the current working definition established by the decree was used to assess compliance.

Status:

Primary: In Compliance
Secondary: In Compliance Operational: Not In Compliance3

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. While the EWS has been brought on-line, it has not been operational long enough for the Bureau to have begun making managerial and supervisory decisions based on information included in the EWS database. No quarterly analyses of use of force has been conducted using the EWS database. The

3 Attainment of operational compliance for this task will require resolution of the “serious injury-” OMI investigation issue and improvement of the PBP’s SRR review process.
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Page 18

Bureau has, however, completed all of the necessary policies, training, and system development processes to allow such assessments to be made. The Bureau is judged to be in primary compliance with the requirements of task 18-b. The first quarterly analysis is scheduled for the week of August 2, 1999.

While the command staff have yet to review use of force on a quarterly basis, the training academy has released its first quarterly review of police use of force. This analysis assesses total numbers of use of force, the types of incidents involved in uses of force, control techniques used, and nature and frequency of injuries to suspects and officers.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-a requires the City to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.
Methodology
During the seventh quarter, the Bureau completed 306 reports of field contacts or search and seizure activity. A random sample of 52 FCSSRs completed during the seventh quarter was selected and analyzed to ensure the reports met the requirements of task 19-a.
Further, each of the 52 selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the 52 reports was assessed, and supporting documentation, where available, was reviewed. One FCSSRs was found which was not reviewed within seven days; however, this was delayed specifically because the review process identified errors in the original report and supervisory personnel remanded the reports for correction or enhancement. The
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final completed report was submitted after seven days; however, initial review identified errors or other reporting problems well within the seven-day period. The actual “error rate” for supervisory review for this quarter was one of 52 reports, well within required parameters.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-b requires the City to analyze the search and seizure activity of its officers on a quarterly basis. The protocols and policies for search and seizure reporting have been completed, and training and implementation are completed. The EWS is now operational, but, has not been operational long enough for the Bureau to have begun making quarterly assessments of search and seizure activities of its officers. The Bureau is judged to be in primary compliance with the requirements of task 19-b.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 20-a requires the City to review all allegations of racial bias through the officers’ chains of command within one week of completion of the
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investigation. The Bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial bias. During the seventh quarter, no allegations of racial bias on the part of Bureau officers were lodged with OMI. During the fourth quarter, however, three were found that were investigated between May 16 and August 15, 1998: AQR4-E, AQR4-J, and AQR4-P. Of these three, one was sustained. The single sustained complaint alleging racial bias was reviewed by the officer’s chain of command within seven days of receipt of notice of the sustained finding from OMI. Appropriate disciplinary action was taken in this case (suspension). The Bureau is judged to be in operational compliance with the requirements of task 20-a.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias

Apr 97 Q1

Q2

Q3

Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-b requires supervisors to use the EWS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. While the EWS is operational, it has not been available to Bureau personnel over a period time sufficient to allow quarterly analysis of racial bias. Data exist; policies are in place, and the necessary training regarding the use of the EWS has been accomplished. However, since the EWS has not been operational long enough to allow the first quarterly analysis of allegations of racial bias, the auditor was unable to audit for secondary or operational compliance. The Bureau is judged to be in primary compliance with the requirements of task 20-b. The first quarterly analysis is scheduled for the week of August 2, 1999.

Status:

Primary: In Compliance Secondary: Unable to Audit Operational: Unable to Audit
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2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 21-a requires the City to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a three-year period, or five or more complaints in a two-year period.

Methodology

Based on records provided by the Bureau, 21 individual disciplinary actions were taken by the Bureau during the period of time covered by this report—the same number recorded for the sixth quarter. Of these 21, eight involved citizen complaints or interactions with citizens. Disciplinary actions for those eight incidents were taken during this quarter. The auditor reviewed all disciplinary action reported for the seventh quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline. For example, departmental discipline included:

• Oral and written reprimands for conduct toward the public and obedience to orders;
• A three-day suspension for conduct toward the public; • A three-day suspension, and counseling, for activity giving rise to a settled
civil suit;
• A five-day suspension pending termination for untruthfulness • A five-day suspension pending termination for use of excessive force; and • A one-day suspension and counseling for domestic violence.

Based on the protocols of progressive discipline, the Bureau is responding within its anticipated range of responses in delivering discipline.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 21-b requires the City to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on reviews of officer behavior.

Methodology

The auditor reviewed the Bureau’s disciplinary processes for the period from February 16, 1999 to May 15, 1999. The Bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the Bureau included retraining, counseling, one-on-one discussions with the legal advisor, and other appropriate forms of “retraining” and “counseling.”

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.2 Compliance with Task 21-c: Consider Prior Record in Determining Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 21-c requires the City to consider an officer’s prior record in determining discipline.
Methodology
According to records provided by the Bureau and the Office of Municipal Investigations, several individual disciplinary actions were taken by the Bureau this quarter. Each of the 21 disciplinary actions taken by the Bureau was
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Page 23

reviewed for evidence that prior disciplinary records were considered when imposing discipline. One of the disciplinary actions indicated a modification to discipline based on past record. That, coupled with the Bureau’s previous performance in this area leaves them in operational compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 22 requires the PBP to establish disciplinary action files, or “performance files” at the zone level.
Methodology
The audit of the “performance files” at the zone levels for this quarter consisted of assessing both electronic and paper files. Zone Six officers’ electronic files were assessed to determine if any had, in the last quarter, received a sufficient number of citizens’ complaints, disciplinary actions, etc. to require new entries in their performance files. The electronic review, using the on-line Officer Management System indicated that Zone Six had no active officers who would have been required to have updates made to their performance files this quarter.
As with the requirement to assess use of force issues, the Bureau is in primary compliance with the stipulation of task 22: A series of chief’s orders has been promulgated (97-009 and 97-024), establishing a requirement for zone commanders to maintain “performance files” which conform to the requirements of the consent decree.
An assessment of the zones’ performance on this task indicates that the Bureau is also in secondary compliance with this task: systems for developing, transferring, disseminating, filing and managing officers’ performance files have been developed. Based on the complete sample of Zone Six records, the Bureau is judged to be in operational compliance with the requirements of this task, as no officers were noted with activities that would require entry into the Zone Six performance files.
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Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual Performance Evaluation

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 23 requires the City to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

The Bureau has developed a performance evaluation policy which meets the requirements of the decree, and which was approved and disseminated in April, 1998. Training regarding the performance evaluation system has been completed. The second wave of performance evaluations has been completed, and the third wave is planned. Based on the documents reviewed, it appears that the Bureau continues to be in compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL
Paragraph 24 requires the City to use performance evaluations as a factor in promotional decisions.
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Page 25

Methodology

The Bureau has developed a performance evaluation policy which meets the requirements of the decree, and the policy was implemented in June, 1998. The Bureau promoted 17 individuals during the fifth quarter, and each of their performance evaluations was reviewed. No remarks, actions or characteristics were found in any of the 17 files that would have indicated inappropriate decisions were made in any of the promotions. No promotions were made during the sixth or seventh quarters. The Bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 25 requires the City to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.
Methodology
The auditor’s team visited one randomly selected unit location (Zone Six) to assess the degree of compliance with paragraph 25. During the site visit, the auditor conducted a walk through inspection of zone facilities such as bulletin boards and office space.
Evidence exists to support the Bureau’s operational compliance with paragraph 25. Past reviews of zone “performance files” indicate that the EAP is being used by departmental personnel and departmental managers. The counselors assigned to the EAP were interviewed during the first quarter by the auditor’s staff, and appear to be both experienced and knowledgeable concerning EAP
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practice and standards. It appears that EAP participation is non-retributive and meets established practice for such programs.

Departmental policy requires the posting of EAP flyers at each of the zone stations, at the zone visited, the flyers were readily visible in the station.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.16 Compliance with Task 26: Notification of Adverse Involvement

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 26 requires the City to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the City to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.
Methodology
During the auditor’s review of departmental personnel files, the files were assessed for evidence of implementation of PBP Policy 44-5, effective 8-25-97, which requires notification of the chain of command any time:
• A warrant is to be served on a member of the service; • A protective order is to be served on a member of the service; • An on-scene arrest is made of a member of the service; • An officer is arrested by another agency other than the PBP; or • An officer of the service is the subject of a civil suit.
A review of Bureau records indicates that the Bureau continues to monitor its officers’ activities for adverse involvement. Notice of one settled civil case was included in departmental records during the sixth quarterly audit, and each was supported by a request for command staff of the affected officers to review the results of the litigation. The audit team reviewed DARs and other departmental records during the seventh quarterly site visit to determine whether or not the Bureau took appropriate measures relative to settled litigation. Both officers involved in the litigation settled during the sixth quarter received discipline and
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counseling based on their actions giving rise to the litigation. From the auditor’s perspective, the discipline and counseling were appropriate.

In addition, the Bureau’s files were reviewed for inidications of other notice of adverse involvement on the part of PBP officers. Four such notices were found, and the Bureau continues to monitor these activities and provide appropriate discipline, where necessary. For example, DARs filed this quarter by the Bureau included three disciplinary actions taken as results of adverse involvement on the part of police personnel.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
Secondary
Operational
Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the Bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.
Methodology
A review of records available during the time frame of the seventh quarterly audit indicated three criminal proceedings in progress against PBP officers, none of which involve allegations of false arrest. One of the criminal charges does involve an allegation of an unconstitutional and unwarranted strip search. This case, along with two others, are being monitored by OMI, which has completed investigations involving these three officers.
The Bureau has established an agreement with the District Attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearing lost as a result of illegal activity. Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum “detailing the results of the hearing.” PBP policy calls for
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Page 28

these memoranda to be forwarded to OMI for their review.. Currently the City is monitoring court cases for criminal charges that are dismissed because of illegal searches or other illegal activity on the part of the police. In such events, OMI would, based on the dismissal, initiate an investigation of the officer’s actions. No cases have been noted in which these events have occurred.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.18 Compliance with Task 28: Settled Litigation

Sanctions for Officers Involved in

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY Operational
Secondary
Paragraph 28 requires the City to implement appropriate discipline “as the circumstances and OMI investigation warrant,” in all instances in which PBP officers are the subject of civil litigation.

Methodology

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation. During the sixth quarterly audit, the department received notification of settled litigation involving two Bureau officers. As of the seventh quarter, this case has been reviewed by command staff, and disciplinary action was taken in April, 1999. In addition, the Bureau took disciplinary action against one of its officers as a result of a settlement arising from civil litigation. The action taken in all three cases appears appropriate. It is clear from the review that the department continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.19 Compliance with Task 29: Provision of Legal Advisor Services

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONA L
Paragraph 29 requires the City to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

Methodology

The auditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the Bureau, publishing legal bulletins, seven during this quarter, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The Bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.20 Compliance with Task 30: Develop a Rotation Schedule

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

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Page 30

The PBP has developed a personnel rotation plan, and has implemented the first phase of the plan during the second quarter. The plan, supported by Chief’s Memo 97-550, has transferred 91 officers to other assignments through January 1, 1998. Additional officers continue to be transferred as part of this rotation policy, with 95 officers transferred in December, 1998, and an additional 157 officers transferred in September, 1998. Transfers have continued through the seventh quarter, with all assistant chiefs having been transferred to new duty assignments in May, 1999, and an additional 27 officers transferred to new duty assignments during the quarter. Many of these transfers are routine transfers of personnel, necessitated by normal operational decisions. Decree-related, largescale transfers are planned annually, for implementation in January. The next cycle of consent-decree transfers is anticipated in January, 2000.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 31 requires the PBP to “make every effort” to participate in community meetings, including those oriented toward minority groups.

Methodology

The auditor reviewed monthly attendance logs for police zones for the months of February 16, 1999 through May 15, 1999. The logs show multiple community meetings attended by PBP personnel, although the volume of meetings is reduced, presumably due to the fact that community meetings are more sparse during the summer months. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.22 Compliance with Task 32:

Televise OMI’s Function

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the City to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. For the last four quarters, the City has developed and aired (on average eight times daily) on the City’s public access cable channel a professionally created video tape explaining OMI’s function in investigating complaints of alleged misconduct against City employees. The video covers all important aspects of the internal investigations process, and according to the City, reaches 105,000 households throughout the Pittsburgh area. Based on 2.7 residents per household (a national average), the video is reaching nearly all of Pittsburgh’s residents. The City is currently working with major television networks in the Pittsburgh area to carry Public Service Announcement regarding the OMI process. The City has also printed a brochure explaining the OMI function and has distributed the brochure to all of the City’s community organizations and placed these brochures in all City buildings.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Page 32

Paragraph 33 requires the City to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.

Methodology

The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted a site-visit of the training academy, and have interviewed many of the personnel assigned to the training academy. The Bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 1999, the Bureau has continued to train its officers in the topics of cultural diversity, “effective communication” and ethics. To date, according to the training academy’s records, all but eleven Bureau personnel have received training in cultural diversity for the 1998-99 training cycle.

More importantly, perhaps, the department is currently engaged in a reengineering effort for its cultural diversity program. The revised curriculum for this topic is being developed by a Cultural Diversity Task Force Team, which will assist the training academy in developing the new curriculum. Research for the revised training curriculum is complete, and entails a careful analysis of demographics, linguistics, process and impact of diversity. This is exactly the nature of the processes identified as needed for operational compliance—moving beyond mere “letter of the law” compliance to a process of critically assessing the impact of tasks on the policing environment.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Page 33

Paragraph 34 requires the City to establish monitoring systems which will assess citizens complaints for indicators of needs in training or re-training. The Bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.

Methodology

In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports.

It is clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the seventh quarter, training academy staff completed a review of citizens complaints and use of force reports with the aim of improving, where applicable, training curricula.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 35 requires the City to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de-escalation training “into all other training that implicates the use of force.”
Methodology
The City and the Bureau continue to make progress toward compliance with this task, and major new milestones have been met this quarter. The City is currently under contract with a nationally recognized consultant to deliver a series of classes on “verbal judo,” a process of verbal de-escalation which is recognized nationally as effective in reducing police-involved violence. To date, the Bureau
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has trained all but 14 of its 1,080 eligible officers (with the exception being those on extended medical or similar leave, and thus not performing police duties) in “verbal judo” and/or tactical communications.

The Bureau-wide process of reviewing all use-of-force curricula is currently continuing, in a joint program between the City Law Department and the Bureau of Police. One staff attorney from the City Solicitor’s office is working with Training Academy staff to develop a comprehensive review of the PBP’s training curriculum with respect to use of force training. The goal is development of a five-year training plan and a revision/rewrite of all aspects of the curriculum which entail police use of force—or avoidance thereof. The process has proven an effective policy review and revision mechanism, as it has developed plans for the removal of the “neck restraint” and “neck restraint to retrieve narcotics,” two problematic use of force activities, from the inventory of acceptable methods of use of force. The “neck restraint” will be replaced with the Lateral Vascular Neck Restraint, and this process will be classified—appropriately—as deadly force. These changes have not been incorporated into PBP policy as of the seventh quarterly audit, however.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 36 requires the City to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation “at the beginning of the training curriculum to serve as a foundation for all other classes.” No recruits were trained in the seventh quarter. The last recruit class offered by the PBP ran from May 19, 1997 through October 24, 1997. The recruit curriculum offered “ethics” training in weeks three and four, human relations skills in weeks four and five, multi-cultural training in week six. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree. No new recruit classes have been offered since October, 1997, thus no additional audit of the recruit training curriculum was possible.
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 35

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 37 requires the City to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the Bureau’s curriculum outlines for cultural diversity and ethics. In addition, the auditor has reviewed other curriculum components which he asked to be forwarded for review. The Academy’s maintenance of training records for non-mandatory training has been substantially updated since the third quarterly report. According to academy records, all but 19 of the department’s 1,0744 eligible personnel (98 percent) have received training in ethics. The Bureau has contracted with a nationally-recognized provider of training in police ethics, and has substantially revised the curriculum for the 1999 calendar year. The latest ethics training was conducted in June, 1999 as part of the State of Pennsylvania’s mandatory training cycle.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

4 The Academy’s training records appear to have been cleared of retired officers, terminated officers, and deceased officers, bringing the total number of employees in the database to 1,074 currently working officers, and 19 officers on extended leave or other non-functional assignments.
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 36

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 38 requires the City to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

The auditor assessed primary steps necessary to complete the tasks required by this paragraph. The Bureau has completed work on a script for a training video; the script has passed legal review, and the initial taping has been completed. An initial session was presented by the OMI manager to recruits. The training of “all officers” in the OMI complaint process has been completed for all officers except those on extended leave. Based on a review of the training records, the department has trained approximately 98 percent of its officers in the OMI process.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.29 Compliance with Task 39:

Encourage Qualified FTO

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL
Paragraph 39 requires the city to recruit “highly qualified” Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the City to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.
Methodology
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 37

During the first quarterly report, the auditor selected slightly more than a 50 percent sample of the 25 newly appointed FTOs selected by the Bureau for its new recruits. Each of the 13 records selected was screened for poor disciplinary record, complaint history, and past performance. Given the Bureau’s delay in implementing paragraph 23 (performance evaluations) these evaluations could not be used in selecting the FTOs appointed in July, 1997; however, recent reevaluations of FTO performance included performance evaluations in the evaluation packet.

The auditor found all of the 13 officers’ files to be reflective of police careers that would recommend a role as an FTO. The field training officers’ records were clean of any civilian complaints that would require disqualification as an FTO. No new FTOs were appointed during the fourth quarter.

In addition, the auditor pulled a random sample of 15 PBP instructors’ files to assess completeness, accuracy, and conformance to established standards. Further, the auditor checked each instructor who taught at the Academy during the second quarter to ensure that they were certified to teach the subjects they taught during the quarter. Each file checked was complete, accurate, and organized as one would expect. All instructors checked were certified by the state—or other certifying agency—to teach the topics they were assigned.

No new FTOs have been appointed by the Bureau since July, 1997, thus the Bureau remains in operational compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40:

Train all FTOs and Instructors

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 40 requires the City to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the City require FTOs and instructors to “demonstrate on a regular basis, their proficiency in their areas of instruction.”

Methodology

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 38

The auditor reviewed the training curriculum for FTOs and instructors provided through contract for the PBP. All instructors and FTOs are first “instructor development certified” by either the Federal Bureau of Investigation or Indiana University-Pennsylvania. FTOs then receive an additional five days of training at the PBP Academy for specific FTO-related topics. The specific provisions of paragraph 40 requires “demonstration on a regular basis…[of] proficiency in their areas of instruction.” The Police Bureau requires a formal assessment, using two forms specifically designed for evaluation, of the FTOs. The first (“Field Training and Evaluation Program—FTO Critique Form) is a two-page evaluation completed by field trainees. The form evaluates FTOs relative to the trainees’ assessment of the FTO’s ability, interest, knowledge, skill, ability to communicate, and fairness. The aggregate data collected through this process is shared with the FTO by the Academy commander. In addition, the PBP assesses FTOs by requiring their supervisors to complete an evaluation form (Field Training and Evaluation Program—FTS Critique Form). This form requires supervisors to rate FTOs on their skill as a trainer, their ability to communicate, their fairness, promptness, and attendance. These data as well are shared with the FTO.

In addition, the Academy has begun a process of testing for all consent-decree and state mandated training classes. The Academy evaluates instructor proficiency through these test scores, assuming that effective instructors produce students who can pass Bureau and State exams. The process of testing for all consent decree-related training is relatively new; however, during the fifth quarter, more than 1,000 exam scores were reviewed by the auditor. The vast majority of test scores of PBP personnel were in the 85-100 range (of a possible 100). The examinations that the auditor reviewed indicated a close correlation between the instructor’s syllabus and the exams. Further, a review of the examinations indicated that they are substantive and not, on their face, overly simple or easy to pass.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 39

Paragraph 41 requires the City to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”

Methodology

The auditor conducted a thorough second-quarter review of the Academy’s training records during a site visit to the Academy. Selected training curricula were assessed, and specific documents were selected for further analysis. This included training records for state-mandated and consent decree-related training. These records now appear to be up to date and complete. The records are kept in useable format, and are managed by a sworn officer, adept in manipulation of the database, and capable of generating ad hoc reports. The records currently can generate reports by officer, training topic, hours, date and test score.

Changes to the Academy’s record-keeping processes continue to evolve. In addition, this quarter’s assessment shows the records to be free from error, and to exhibit a “living” quality, i.e., they are updated frequently, and are subjected to error checking and correction processes. The Academy currently forwards training records to the auditor electronically. The Bureau continues to be in compliance with this task. A review of new training curricula and syllabi during the seventh quarter indicates continued adherence to national standards regarding documentation of the training process.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42:

Document Mandatory Counselings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 42 requires the City to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 40

During the auditor’s review of data for the seventh quarterly report, the department’s centralized file which is used to document mandatory counselings was reviewed. Three records were found which required mandatory counseling for PBP officers. These mandatory counseling sessions were found to be reasonable, and designed to prevent future occurrences of problematic behavior.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Training

Annual Supervisory and Leadership

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 43 requires the City to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors The Bureau continues to move forward with training for its senior supervisors. All supervisors have received the updated ethics training being designed by the Bureau. Test scores for senior supervisors continue to average in the high 80s.

It appears, from the records available at this time, that a majority of all senior supervisors have been trained at Pennsylvania State University’s “POLEX” command staff training program. An in-service component on “integrity” has been developed, and all senior supervisors have received this updated training, offered by one of the most respected names in the field.

The Bureau continues to avail itself of annual in-service training for command personnel, with topics including cultural diversity, ethics, and command accountability, although some topics are not received annually by all command personnel.

Status:

Primary: In Compliance Secondary: In Compliance
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 41

Operational: In Compliance 2.34 Compliance with Task 44: OMI Quality Assurance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 44 requires the City to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available for OMI investigations from 1986 through 1997. Using this database, records of complaints for individual officers can be easily identified; however, assessment of complaint history on a routine basis, for all officers, is cumbersome and difficult. At present, the OMI manager prepares complaint histories using the EWS and Officer Management Databases.

Given several innate weaknesses in the OMI database, the system is currently
scheduled to be re-written, transitioning it into a more suitable management tool.
The audit team met with representatives of CIS during the May site visit and
discussed plans for revision of the OMI management information system. No formal systems development proposals are yet available.5

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

5 For example, the OMI database indicates during quarters five and six that more complaints were resolved by OMI than were forwarded to the auditor for review. An assessment is currently underway to determine the cause of the contradictory data.
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 42

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 45 requires the City to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

The auditor has reviewed Chief’s Orders 97-009 and 97-024 which established the zone “performance files.” These orders required the creation of disciplinary files at the zone level which “contain all OMI and non-OMI complaints that have been filed against the officer,” (CO 97-009). CO 97-024 requires that performance files “shall be available to personnel within the officers’ chain of command who are responsible for the officers’ training, counseling, or discipline.”

The PBP continues to provide access to police officers’ files in an area of each zone station house which is accessible to sergeants and lieutenants working evening and night turns.

No officers at Zone Six had received three complaints of a similar nature in the past two years or five complaints within the last two years. The Bureau remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 43

Paragraph 46 requires the City maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the City to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be “identical” to that received by OMI police investigators. The paragraph further requires that the City make the OMI manual available for inspection at PBP facilities and at the OMI office.

Methodology

The auditor reviewed the OMI manual, as promulgated on December 1, 1997, for revisions and assessed OMI training documents. In addition, the auditor reviewed training records for OMI personnel. Records provided by OMI indicate that all civilian OMI investigators have received training during the seventh quarter, and the office continues to implement its training plan for investigative personnel.

The Office is in primary compliance with the requirements relating to promulgation of an OMI manual, and provision of training for OMI staff. In addition, the Office has developed an annual training plan for 1998-99, and made all suggested revisions in the OMI manual during the last quarter. No new revisions were made this quarter. While OMI personnel received no new training during this quarter, plans are in place for the training of newly assigned personnel, with expected implementation during the eighth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47:

Receipt of Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 47 requires the City to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.

Methodology

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 44

The auditor reviewed thirteen of 24 completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were “required” to complete any OMI form prior to receipt of the complaint and initiation of the investigation. The revised OMI manual was assessed to determine levels of compliance with the stipulations of paragraph 47 and the consent decree. The OMI manual requires that complaints will be received via telephone, facsimile, mail, or in person, as well as anonymously. Revised OMI form 103-97 includes a checkbox for each receipt method. Further, the auditor assessed completed OMI complaint investigations to determine if complaints were being received in accordance with the decree.

Evidence was available in the completed investigations to indicate the particular method by which complaints were being received. Of the thirteen investigations reviewed (of twenty-four citizens’ complaints completed this quarter) ample evidence existed of receipt of complaints via telephone, letter, or in-person.

Completed investigations were reviewed for any indication of requirements for complainants to complete forms prior to initiation of an investigation. None of the thirteen files reviewed included any form completed by a complainant.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 48 requires that the City accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.
Methodology
Thirteen completed OMI complaints were assessed for the source of the complaint. No anonymous complaints were resolved this quarter; however,
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 45

based on the Office’s performance over the last several quarters, the City is judged to be in operational compliance with task 48.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49:

Closure of OMI Investigations

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. In addition, a sample of 34 completed investigations over the last four quarters was assessed to determine if any of the complainants in these cases had withdrawn the complaint. One such complaint was found, during the fourth quarter, in which the complainant signed an official “notice” of withdrawal of his complaint. The OMI investigation, nonetheless, was completed, and was thorough. No withdrawn complaints were found during the seventh quarterly audit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 46

Paragraph 50 requires the City to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the City publicize the new OMI location.

Methodology

During the second quarter, the auditor verified that OMI had been relocated, and assessed the relocation as meeting the requirements of the decree. The only element precluding operational compliance with section 50 of the decree, at that time, was lack of “notice” to the public of the relocation. During the auditor’s site visit for the fourth quarter’s audit, the level of notice of the relocation was assessed. The City has taken proactive steps to publicize the location or function of OMI since the last quarter. A public-access video has been aired detailing the Office’s new location, and thousands of brochures have been printed and distributed noting the Office’s new location. These brochures were available at all city buildings visited by the auditor this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 51 precludes the City from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the City to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The City is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings “in all City buildings.”
Methodology
The auditor reviewed thirteen of the 24 citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 47

required any complainant to come to a City facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes, over the telephone, and by meeting individuals at locations convenient to them. The auditor reviewed attendance logs for OMI’s quarterly meetings (held between February 16, 1999 and May 15, 1999), and reviewed the newly revised OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings. Further, the auditor assessed completed OMI investigations to attempt to identify whether or not complainants were required to come to a PBP facility to register a complaint or make a statement.

The quarterly attendance logs indicate that OMI personnel have conformed to the requirement to attend quarterly meetings. While they offer to take complaints at these meetings, according to staff, no such complaints have been registered or investigated. The OMI manual, at section 4-1(B) stipulates that “OMI also accepts complaints during quarterly, off-premises meetings in rotating zones.” This quarter, the City advertised zone meetings in City buildings, and provided copies of publicity notices used to publicize the OMI quarterly meetings in City buildings. Further, the brochures printed by the City and the video completed and aired to all cable recipients, provides further information regarding identifying the location of zone meetings (by providing a contact name and a telephone number). While no logs were provided to ensure that “all City buildings” had posted notices of zone meeting dates, time and locations, the use of the OMI public-access video, coupled with the printed OMI brochure, gives, in the opinion of the auditor, ample notice allowing those interested to attend zone meetings. Further, it should be noted that each City facility the audit team visited this quarter had the OMI brochures prominently displayed in public areas.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 52 requires the City to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 48

Methodology

The auditor attempted to track the paper trail from OMI to zone-level senior supervisors, and to find any evidence at the zone level of notification from OMI of use of force, improper search or seizure or racial bias. OMI does issues monthly reports identifying officers complained against, the type of complaint and a brief narrative. These reports are forwarded to the Chief of Police, and the Deputy Chief for Operations, and through them to the zone commanders. In addition, any complaint alleging racial bias is automatically forwarded to the Human Relations Commission (although this process is not treated in the new OMI manual).

During this quarter’s site visit, the auditor was able to track a “paper trail” of notice to senior supervisors of complaints filed by citizens, noting dissemination of quarterly and monthly OMI reports to senior supervisors of the Bureau of Police. In addition, notice is sent to each zone, and filed in the zone performance file, of OMI investigations of allegations against officers assigned to the zones. This includes all allegations, including those of improper use of force, search and seizure and racial bias.

The Bureau is deemed to be in operational compliance for task 52.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation

Responsibility for Complaint

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 53 requires the City to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to “settle” OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.
Methodology

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 49

The auditor reviewed the OMI manual for sections relating to paragraph 53, interviewed OMI personnel, and reviewed OMI case files for any indication of incompleted or “withdrawn or settled” OMI cases. Section 2-1 of OMI’s new manual charges OMI with jurisdiction to “investigate all personnel of any department of the City of Pittsburgh...” and specifically notes the departments over which OMI has investigative authority, including the PBP. A review of thirteen of the 24 completed OMI investigations for this quarter reveals no evidence to indicate that the City does not remain in compliance with this task. No cases were found in which the complainant officially notified OMI of his desire to withdraw his complaint, although one complaint was noted in which the complainant, after filing his original complaint, refused to have any further contact with the office. OMI investigated this complaint thoroughly.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Number on Request

Officers to Provide Name and Badge

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, “Conduct Toward the Public” requires that “when requested by any person, a member shall give his name and badge number in a courteous manner.”

Methodology

The auditor reviewed a sample of completed OMI cases for the seventh quarter (February 16, 1999 to May 15, 1999) to determine if allegations of failure to provide name and badge number were made to OMI. None were found; however, the Bureau did sustain one allegation of failure to provide name and badge number during the sixth quarter. The Bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 50

2.45 Compliance with Task 55: Alternative Sites

Interview of Complainants at

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants “off-site,” if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted “off site.” Among the thirteen completed investigations assessed during this quarter, ample evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: Interviews

OMI to Tape and Transcribe

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept “special reports” in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 51

The OMI manual stipulates a “Tape Recorded Statement Form” and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed thirteen (of 24) completed investigations of citizens’ complaints provided by OMI based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases in which interviews were conducted after resolution of the Fraternal Order of Police’s “test case” on this issue included transcriptions of OMI interviews of officers, witnesses or complainants.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57:

OMI Staff Access to EWS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 57 stipulates that OMI staff should be provided access to the City’s Early Warning System. The manager of OMI has been trained in the use of the EWS; however, he has not yet begun to use the system as a tool in planning or executing investigations, since the OMS component of the early warning system contains “duplicate” records.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

2.48 Compliance with Task 58:

OMI to Interview Supervisors at

Scenes of Incidents Leading to Allegations of Misconduct

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 52

Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

As noted in the first auditor’s quarterly report, the OMI manual contains language concerning the need to interview senior supervisors and supervisors; its revised version requires OMI investigators to determine the supervisors’ “handling of … situation[s] during and after the alleged incident[s]” and their “observations of the complainant[s] and the accused officers.”

Further, OMI case reports which were reviewed were assessed for any evidence that the investigator had attempted to locate any potential supervisors at the scene. None of the thirteen cases reviewed during the seventh quarter produced an indication that supervisory personnel were present. Based on previous performance, however, the City remains in compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59:

OMI to Canvass for Witnesses

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 59 requires OMI to canvas the scene of an incident for witnesses “as soon as possible” after receiving a complaint where canvassing could “reasonably yield” additional information.
Methodology
The auditor reviewed the OMI manual, Section 6-1G, which requires neighborhood canvasses, “as soon as possible” after receiving a complaint. Case tracking forms also include a “check off” box for witnesses located through the canvassing process.
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 53

The auditor reviewed a sample of thirteen completed OMI cases for the seventh quarter (February 16 through May 15, 1999) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Of the thirteen cases reviewed, all included documented efforts to reach witnesses.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60:

OMI to Review Police Shootings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the seventh quarter and found one. The Office reviewed this shooting, using a newly developed officer-involved shooting protocol. The Office is judged to have remained in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Page 54

2.51 Compliance with Task 61: Allegations of Misconduct

OMI to Aggressively Investigate

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 61 requires that OMI investigators “aggressively” investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed a 50 percent sample of OMI investigations completed from, February 16 1999, to May 15, 1999, to assess the level of compliance with paragraph 61.

The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting.

Of the thirteen investigations assessed for the seventh quarter, all but one
appeared to have been professionally conducted, and to meet minimum standards for professional internal investigations.6

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.52 Compliance with Task 62: Four Corners”

OMI to Act on Behavior “Outside the

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

6 Problems continue to exist in cases cleared during the seventh quarter, however, in application

of the OMI manual’s requirements regarding case disposition, particularly in the classifications of

“unfounded”

“not resolved.” See Sections 2.58, below.

Auditor’s Seventh Quarterly Report

July, 1999

Public Management Resources

San Antonio, Texas

Page 55

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled “outside the four corners” of the original complaint.

Methodology

The auditor reviewed the OMI manual for reference to the requirement to note conduct “outside the four corners” of the complaint which violates departmental policy or procedures. The OMI manual refers to such complaints as “collateral misconduct,” and stipulates in Section 6-8 that “if, during the course of an OMI investigation, an OMI investigator has reason to believe that … collateral misconduct [occurred] the investigator must investigate and make findings with regard to such collateral misconduct.”

The auditor also reviewed a 50 percent sample of citizens’ complaint investigations completed by OMI between February 16 and May 15, 1999. Each complaint was evaluated to determine if any behavior could be noted that would be “outside the four corners” of the original complaint. Two were found which could result in allegations of collateral misconduct. Both were properly investigated by OMI staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.

Methodology

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Page 56

The auditor reviewed a sample of thirteen investigations completed by OMI between February 15 and May 16, 1999. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Each of the thirteen files assessed contained evidence of substantial improvement in form, style and substance. All requisite reports, checklists, forms and documentation were present in each of the thirteen. All of the investigations were conducted in a manner that meets minimum standards for internal investigations, and some of the completed investigations could be used as “teaching tools” for new investigators.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 64 requires the City to provide OMI with “sufficient staff, funds and resources to perform the functions required” by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree is relatively easy to define: the Office is adequately staffed when the number of completed cases equals the number of cases received by the Office, over a protracted period of time. During the last seven quarters, the ratio of complaints cleared to complaints received has never exceeded 75 percent. While additional personnel were added to the OMI complement during the seventh quarter, yielding a total of five investigators assigned to police cases, the Office continued to run a backlog of cases for this quarter. While the Office completed and forwarded to the auditor for review a total of 24 investigations (a high for any quarter since the consent decree was implemented) the Office received an additional 41 complaints during the seventh

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Page 57

quarter, adding an additional 17 cases to the backlog of 443 cases currently pending.7

An additional two investigators have been assigned to OMI this quarter, and plans are underway to add three more. Once these additional (temporary) investigators are assigned and trained, OMI will have doubled its personnel compared to the last quarter.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL

Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology

The auditor reviewed the OMI Manual of Policy & Procedure, which states at Section 7-4 that “all findings by OMI shall be based upon the ‘preponderance of the evidence standard.’” The revised (5/98) document defines this standard for the reader, using applicable civil law definitions. The auditor reviewed thirteen of 24 OMI investigations completed this quarter, and found each to conform to the preponderance of the evidence standard, as articulated in the OMI manual.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

7 Data in the OMI database reflect more cases resolved by OMI than have been provided to the auditor for review. As assessment is underway to determine the reason for this contradiction.
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Page 58

2.56 Compliance with Task 66: Statements

Apr 97 Q1

Q2

No Preference for Officers’

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL
Paragraph 66 stipulates that “there shall be no automatic preference of an officer’s statement over a complainant’s statement,” and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed the OMI Manual of Policy and Procedure for references to preferences to officer’s statements, and found a reference in the revised (5/98) Section 6-9. There were also references to credibility determinations (Section 69) which conform to the requirements of paragraph 66.

In addition, the auditor reviewed thirteen of the 24 OMI investigations of citizens’ complaints completed during the seventh quarter for conformance to this requirement. In each of these thirteen, credibility assessments were documented in the final report. One of these (AQR7-A) was found in which the investigator appeared to give preference to the officers’ statements, disposing of a case as “unfounded” rather than “not resolved” in an instance in which both involved officers denied the allegations made by the complainant, and no other evidence was available. Continued examples of misclassification could result in the Office losing its compliance status for this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.57 Compliance with Task 67: Authority

OMI Retains Final Investigative

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

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Page 59

PRIMARY SECONDARY OPERATIONAL

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between February 16 and May 15, 1999, searching for a case which resulted in a sustained finding, with evidence of a “reversed” OMI finding by a supervisor or senior supervisor. No such evidence was found. The City is deemed in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Resolved”

Change “Not Sustained” to “Not

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 68 requires the City to change the OMI disposition category of “Not Sustained”
Methodology
The auditor reviewed the OMI manual, which stipulates at 7-1B, that cases which generate “evidence that is insufficient to prove or disprove that accountability standards have been violated” will be classified as “Not Resolved.” Further, the auditor assessed all completed OMI investigations for the period February 16, 1999 through May 15, 1999, to determine if the disposition of “Not Resolved” was appropriately used. In the two cases reviewed that produced evidence which should be classified as “Not Resolved” both case were so classified. The City continues to be judged in compliance with this task. In the last quarterly audit,
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Page 60
the auditor noted that “[t]he Office should pay particular attention to the ‘rules of classification,’ however, to ensure that cases continue to be correctly classified, particularly relating to ‘not resolved’ findings versus ‘unfounded’ findings.”8
One of the 24 cases resolved this quarter continued to show discrepancies between the OMI manual’s definitions of “not resolved” and “unfounded,” and the use of those dispositions in completed OMI investigations. In the case designated AQR7-E the Office classified as “unfounded” an allegation of harassment about which the investigator notes, in his narrative, “there is simply no evidence to prove or disprove what actually took place…”9 This is, according to the OMI Manual, the very definition of “not resolved

While one of 24 cases does not move the Office out of operational compliance, continued problems in this area could conceivably result in the Office losing operational compliance with task 68, as findings of “unfounded” and “not resolved” carry markedly different weights for future credibility assessments of officers’ statements.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69:

OMI to Issue Quarterly Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.
Methodology

8 “Auditor’s Sixth Quarterly Report,” Section 2.59, p. 59. 9 AQR7-E, Final Report, May 10, 1999, p. 7.
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Page 61

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the Decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December 4, 1997. The City is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the City is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Assurance Checks

Auditor to Perform Quarterly

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

• OMI final reports; • Substance and timeliness of 50 percent of all OMI investigations completed; • Statistical information on the number and types of complaints filed with OMI; • Statistical information on discipline imposed on sustained complaints; • Assessments of officer use of force, searches and seizures, and traffic stops.
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Page 62

Methodology

Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.

Number and Type of Complaints Filed

Complaints filed with OMI over the last seven quarters fall into three categories:

• Type 1 (allegations of rules violations); • Type 2 (allegations relating to attitude and conduct); and • Type 3 (allegations of abuse).

Type 1 allegations include failure to perform, neglect of “ministerial” duties, inaccurate reporting, violation of departmental orders such as those regulating secondary employment, minor events of conduct unbecoming an officer, etc. Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self-assigned investigations, and failure to perform or neglect of duty “on scene.” Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse.10 Table One, below, depicts the number and type of citizens’ complaints received by OMI during the seven quarters covered by the consent decree.

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 7th Quarters (1997-1999)

Type

Q1

Q2

Q3

Q4 Q5

Q6 Q7

1

18

22

33

42 33

8

25

2

9

15

32

19 18

12

1

3

26

39

59

84 58

24 15

Total

53

76

124 145 109 44 41

Source: Electronic database provided by City of Pittsburgh, CIS.

10 Exact classifications are still under discussion with the City and the Department of Justice. Auditor’s Seventh Quarterly Report July, 1999 Public Management Resources San Antonio, Texas

Page 63

The data reflected in Table One are presented in Figure One, below, which depicts the percent of complaints received, by type of complaint, by quarter. As Figure One indicates, the relative percentage of the more serious complaints (Type 2 and Type 3 complaints) have dropped substantially since the beginning of the decree.
Figure One: Percentage of Type 1,2 & 3 Complaints Received by Quarter (1997-1999)

1.200

1.000 0.800

Type 3

0.600

0.400

0.200

Type 1

0.000

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Quarter

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Average Complaint Severity
Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated for the seven quarters covered by this report. The average (mean) severity of complaints filed with the office are represented in Figure Two, below.
Average (mean) severity was calculated by computing an arithmetic average for each quarter covered by this report, using the “Type 1,” “Type 2” and “Type 3” designations. As Figure Two indicates, after holding relatively steady through quarters 1-6, the average complaint severity dropped substantially in quarter seven.

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Page 64

Figure Two: Mean Complaint Severity by Quarter (1997-1999)

2.5

2.0

1.5

1.0

0.5

0.0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Quarter

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rates of Sustained Citizens’ Complaints
Complaints investigated by OMI are classified, upon completion, one of four disposition categories:
• Exonerated (evidence indicated that the event occurred, but that the officer was acting in conformance with the law or PBP policy);
• Not Resolved (not enough information was available to prove or disprove the allegation);
• Sustained (evidence indicated that the allegations were true; or • Unfounded (evidence indicated that the allegations did not occur).
Figure Three, below, depicts the rates at which OMI resolved the complaints received during the first seven quarters covered by this report.

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Page 65

Figure Three: Resolved Complaints by Disposition, by Quarter (1997-1999)

1.2 1
0.8 0.6 0.4 0.2
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7

Sustained Exonerated Unfounded Not Resolved

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rate of Sustained Complaints
The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Four, below. The data depicted in Figure Four were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any other finding except “sustained.”
Figure Four reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation. As with other data reported in this section, Figure Four deals only with investigations of complaints filed by citizens. Complaints investigated by OMI as a result of an internal infraction referred to OMI by the Bureau of Police are not included in these analyses.

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Page 66

Figure Four: Rate of Sustained Citizens’ Complaints By Quarter (1997-1999)

0.2

0.18

0.16

0.14

0.12

0.1

0.08

0.06

0.04

0.02

0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

Complaints Received and Complaints Cleared
The number of citizens complaints received by OMI during the last seven quarters, compared to the number of complaints resolved by the Office is reported in Figure Five, below. As with all other data reported in this section, these data are also calculated using data provided by the City and “cleaned” by the auditor’s staff.
Figure Five reports two categories of data for the seven quarters covered by this report. The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously). The second category reported identifies the number of complaints resolved by OMI investigation.

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Public Management Resources San Antonio, Texas

Page 67

Figure Five: Complaints Received v. Complaints Resolved, By Quarter (1997-1999)11

160

140

120

100

80

60

53

40

20 2
0 Q1

76
10 Q2

124

145

109

44 39

31

26

24

Q3

Q4

Q5

Q6

Quarter

41 24
Q7

Cleared Received

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of OMI Investigations
Figure Six depicts the average length of time (in number of days) required to complete an OMI investigations during the last seven quarters covered by this report. The data depicted in Figure Six were calculated by determining the number of days from complaint receipt to compliant resolution, as reported in the OMI database, for each investigation completed during each of the seven quarters covered by this report. An arithmetic average (mean) was then calculated for each quarter.
Data for Figure Six reflect an intensive training schedule for OMI personnel, beginning in the third quarter. In addition, two cases (one each in the first and second quarters) had missing data in the received/resolved columns, which
11 Cases cleared as reported by the OMI database differ from cases forwarded by OMI to the auditor for review. An assessment is currently underway to determine the source of this error.
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Page 68
skewed reported data for those quarters. These data also reflect the fact that OMI is beginning to “clear up” long-term pending cases.
Figure Six: Average Length of Time Required to Complete OMI Investigations, by Quarter (1997-1999)

160 140 120 100
80 60 40 20
0

29.5 Q1

29.4 Q2

37.8 Q3

46.7 Q4

149.0 104.9 54.0

Q5

Q6

Q7

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of Pending Investigations
The length of time OMI investigations are pending is reported in Figure Seven, below. The number of citizens’ complaints currently pending for each period of time (0-3 months, through more than 18 months) are depicted.
The data were collected by subtracting the date the complaint was received by OMI from the effective date of the end of the seventh quarter (June 15, 1999). For the purposes of this report, a “month” was operationalized as 30 calendar days. Using 30 as the divisor, the total number of “pending” months was calculated for each complaint. For example, Figure Seven indicates that OMI has 111 citizens’ complaints which are classified as “open” nine-twelve months after they were filed.

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Figure Seven: Length of Pending Investigations of Citizens’ Complaints (1997-1999)

120 100
80 60 40 20
9 0
0-3.0

111 94
86 70
40 33

3.1-6.0

6.1-9.0 9.1-12.0 12.1-15.0 15.1-18.0 18.1-21.0

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

2.62 Compliance with Task 72:

Auditor to Recommend Reopening of

Incomplete OMI Investigations

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete. Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed thirteen of the 24 OMI investigations of citizens’ complaints completed between February 16 and May15, 1999. All completed investigations reviewed for the seventh quarter were conducted in a manner that meets minimum standards for professionally conducted internal investigations. No cases were remanded for reopening this quarter.

2.63 Compliance with Task 73: City to Prepare Progress Reports
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Page 70

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter. The first report was issued July 11, 1997; the second was issued January 16, 1998. The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The City remains in compliance with the requirements of task 73

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.64 Compliance with Task 74: City to Maintain Records Necessary

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 requires the City to maintain all records necessary to document their compliance with all terms of this decree. Further, it requires the City to maintain records required by or developed under this decree.

Methodology

The auditor asked for all pertinent copies of records required to document compliance with the decree, and received same in a timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.65 Compliance with Task 75: Unrestricted Access for Auditor

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 75 requires the City to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto. Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

During the course of development of the first Auditor’s Quarterly Report, the auditor made dozens of specific requests of the City, OMI and the Pittsburgh Bureau of Police. All requests were responded to in a professional and timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76: Unrestricted Access for Justice

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 76 requires the City to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree. Further it requires access to staff and facilities upon appropriate notice.

Methodology

During the course of the implementation of this decree, the Department of Justice has made numerous requests for information, data and access. These requests have always been honored.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.67 Compliance with Task 77: Copies of Consent Decree to All Officers

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY

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Page 72

SECONDARY OPERATIONAL

Paragraph 77 of the decree requires the City to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations. All such individuals are further required to sign a statement indicating that they have received, read and understand the statement. The City is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the City acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video12. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the City’s approach to compliance. Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.68 Compliance with Task 78: 90 Day Timeline for Conformance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree.
Methodology

12 Officers on extended leave and who are otherwise excused for duty for extended periods of time have not viewed the video, nor have they signed the statement of understanding.
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Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the EWS. The City is currently in primary compliance with 100 percent of the 7413 provisions to which the City should have complied by now. The City is in secondary compliance with 68 of the 74 provisions due as of August 15, 1998. It is also in operational compliance with 60 of the 74 tasks, due as of August 15, 1998.14 While compliance is measured in tasks completed, one should be aware of the fact that many of the 20 tasks remaining to be completed are the more difficult tasks outlined in the consent decree. Staffing, training and fielding additional OMI personnel and conducting and acting on the results of quarterly command staff analyses using the OMS and EWS are critical tasks, not easily accomplished.
13 Two of the 76 tasks in the decree accrue to the auditor. 14 The auditor was unable to audit three secondary and operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., no promotions during the quarter or no completed disciplinary action reports during the quarter, etc.
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3.0 Summary
The City, the Bureau and the Office of Municipal Investigations have improved compliance with the elements of the consent decree during the last quarter. They have continued to take a professional approach towards the decree, insisting on complying with both the letter and the spirit of the decree, and moving with deliberate speed to ensure compliance. All of the auditor’s requests for information have been responded to with rapid compliance, and the routine response of the City to the auditor’s suggestions has been to implement them enthusiastically.
The City and the Pittsburgh Bureau of Police are nearing the end of the first phase of one of the most complex organizational change projects in the history or American policing. The consent decree has outlined changes to nearly every administrative component of the Bureau. As the first phase ends, the second phase calls for Bureau personnel to begin to institutionalize the changes forged under the first phase. The City and the Bureau continue to pursue both the letter and the spirit of the decree.
Serious issues remain with the Officer Management System and the use of the Early Warning System to conduct quarterly analyses of specific police activities, as well as critical issues relating to staffing the OMI function. The City is making resolute progress in these areas. In the opinion of the auditor, however, these issues must be resolved before the City is able to move into the second phase of the consent decree.
The City has recorded a primary compliance rate of 100 percent, a secondary compliance rate of 92 percent, and an operational compliance rate of 81 percent.15 While a substantial amount of work remains to be done, the City is making steady progress toward complete compliance.
Overall compliance status is depicted in the table below.
15 The auditor was unable to audit three operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., quarterly reviews of Bureau actions using the EWS etc. Thus, the auditor found the City in operational compliance with 55 of the 70 tasks which could be audited this quarter.
Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

Task No.
12 12a 12b 12c 12d 13 14 15 16 17 18 18b 19a 19b 20a 20b 21a 21b 21c 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38

Page 75

Table Two: Overall Compliance Status, Tasks 12-38

Primary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Secondary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO Yes NO Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Operational Compliance
NO NO NO NO NO Yes Yes Yes NO Yes NO NO Yes NO Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Unable to Audit
X X X

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Table Two: Overall Compliance Status, Tasks 39-78

Task No.
39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 7316 74 75 76 77 78

Primary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Secondary Compliance
Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO

Operational Compliance
Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO

Unable to Audit

Again, the reader is advised of the fact that many of the 20 tasks remaining to be completed are the more difficult tasks outlined in the consent decree. Staffing, training and fielding additional OMI personnel and conducting and acting on the

16 Tasks 71 and 72 accrue to the auditor. Auditor’s Seventh Quarterly Report July, 1999 Public Management Resources San Antonio, Texas

Page 77
results of quarterly command staff analyses using the OMS and EWS are critical tasks, not easily accomplished. Overall compliance, however, is dependent upon completion of these critical tasks.

Table Three: Overall Compliance Status, by Percent

Number in Compliance Percent in Compliance

Primary Compliance
74
100 %

Secondary Compliance
68
92 %

Operational Compliance
60
81 %

A careful assessment of the tasks remaining to be addressed will indicate that the completion of the EWS/OMS and staffing of OMI will assist the City greatly in achieving 100 percent operational compliance with the requirements of the decree.

Auditor’s Seventh Quarterly Report July, 1999
Public Management Resources San Antonio, Texas

 
 Auditor’s Eighth Quarterly Report Quarter Ending August 16, 1999

Page 1

1 Introduction
This document represents the eighth of an anticipated 20 “Auditor’s Quarterly Reports” (AQR) assessing the levels of compliance of the City of Pittsburgh (city) with the requirements of the consent decree (decree) entered into between the city and the United States Department of Justice (justice) on April 16, 1997. The document consists of three sections, identified below:
• Introduction; • Compliance Assessment; and • Summary.
The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of “compliance” are described in Section One, “Introduction.” Section Two, “Compliance Assessment,” includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, “Summary” provides an overall assessment of the city’s performance for this quarter.
1.1 Overall Status Assessment
1.1.2 Dates of Project Deliverables
Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the city; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.
1.2 Format for Compliance Assessment
The AQR is organized to be congruent with the structure of the consent decree. It reports on the city’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated “early warning system” now known to the Bureau of Police as the Performance Assessment and Review System (PARS). The following components of the decree are treated similarly. For each section of the decree, a graphic representation of the city’s compliance status is presented. The
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graphic is designed as follows. The “label” depicts the start date for the city’s

compliance actions (almost always April 16, 1997). The blue bar, below the

label,

depicts the time allotted, by the decree, for the city to comply with the decree.

The light blue, yellow, orange or red bars, below the blue bars indicate the time

expired since the start date. The vertically patterned light blue bars

indicate expired time equal to or less than that allowed by the decree. The

checkered Yellow bars

indicate expired time that is more than that

allowed by the decree, but which, in the judgment of the auditor, does not

seriously threaten the city’s successful compliance with the decree. The

horizontally patterned Orange bars

indicate expired time that is more

than that allowed by the decree, and which, in the judgment of the auditor, may

seriously threaten the city’s successful compliance with the decree. Red bars

indicate expired time which is more than that allowed by the decree, and

which, in the judgment of the auditor does seriously threaten the city’s successful

compliance with the decree.

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Compliance is classified as primary, secondary and “operational,” with the definitions specified in Section 1.4, below.
1.3 Compliance Assessment Processes
1.3.1 Structure of the Task Assessment Process
Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:
• Selection of a random sample, or • Selecting all available records of that type.
Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.
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The performance of the PBP and the City of Pittsburgh (city) on each task outlined in the consent decree was assessed by the auditor during the quarter ending August 15, 1999. In order to allow time for completion of the report, the auditor completed assessment activities on August 6, 1999.
All determinations of status for the city and the PBP are data-based, and were formed by review of the following types of documents:
• Official PBP documents prepared in the normal course of business; • Official Office of Municipal Investigations (OMI) documents prepared during
the normal course of business; and/or • Electronic documents prepared by the city or components of city government
during the normal course of business.
Where practicable, documentation forming the database for this audit was selected by the auditor and the auditor’s staff directly from PBP, OMI or city files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints were assessed by reviewing OMI files, OMI electronic files, and zone performance files.
1.4 Operational Definition of Compliance
For the purposes of this audit, “compliance” consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to “comply” as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the bureau.
During this quarter of the decree, the city, the bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.
Substantial progress has been made during the eighth quarter, including progress in the critical areas of training and crafting systems of documentation of compliance efforts, as well as in development of an operational PARS. In addition, significant progress has been made in the area of OMI operations and management.
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2 Assessment of Compliance
2.1 Methodology
The auditor assessed the city’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and “operational” (see section 1.4, above).

The following sections of the eighth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the city has complied with the 73 tasks to which it agreed on April 16, 1997.
2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System (PARS)

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the decree requires the city and the PBP to automate the database tracking system currently in use to track police officer behavior, and to add functionality to the system, transitioning it to an “early warning system” which will assist the bureau in identifying and managing officer behavior which may be problematic. The bureau has expanded the EWS concept into a Performance Assessment and Review System (PARS).
In order to accomplish this task, the city has formed a “protocol committee,” and charged this committee with responsibility for defining policies, procedures, manual and automated systems, and oversight practices for each of required elements of the PARS. The decree requires development of protocols in the following areas:
• Citizens’ complaints; • Officer-involved shootings; • Criminal investigations of officers; • Civil or administrative claims arising from PBP operations; • Civil claims against the PBP; • Law suits against the PBP; • Warrantless searches by officers; • Use of force by officers;
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• Traffic stops by officers; and • Discretionary charges filed by officers.

The city has completed work on the various protocols designed to serve as policy guidance for the PARS, and is currently revising these protocols based on the results of the first quarterly analysis of PARS data, which took place in August, 1999.

Further, the city has implemented a supplementary supervisory device, the Supervisor’s Activity Report (and supporting policy and training), which requires supervisors to provide an on-scene presence at selected patrol activities conducted by personnel under their command. The process requires supervisors to exhibit a field presence, assessing the quality of work of patrol officers regarding performance, adherence to policy and procedure, use of equipment, safety practices, communication skills, or exhibition of prohibited bias. Further, the form requires the supervisor to note recommended actions to remedy any deficiencies noted. The auditor has reviewed each of the city’s protocols, and has assessed their viability in sections 2.2-2.6, following.

Recent developments include implementation of a “production version” Early Warning System, now known as PARS, consisting of an Officer Management System component which allows PBP command and supervisory personnel to monitor the activity levels of individual personnel, and PARS, which allows unitwide analysis. The production version of the PARS has been in-place—and under near-constant review and revision—since October, 1998.

Methodology

During the site visit for the eighth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted in the city’s CIS conference room, using the “live” database from the operational PARS.

The city has had a “production” version of the PARS on-line and operational, as of November. Entry of pre-consent decree information (from September, 1995 forward) has been completed and is accessible through the PARS and OMS database. The city has resolved earlier bugs in the OMS, and as of the last audit, both PARS and the OMS are fully functional.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the decree requires the city to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.
Methodology
During the site visit for the eighth quarterly audit, the auditor reviewed the city’s automated information system with which it intends to replace the previous version of the EWS. The new system, labeled “PARS” for Performance Assessment and Review System, is now completely operational, and was used by the PBP command staff to conduct its first quarterly analysis during the month of August, 1999. The auditor’s review was conducted four days prior to the command staff review, in the city’s CIS conference room, using a “live” database from the operational PARS.
The city’s PARS is currently on-line, and reports electronically officer status on each of the elements required by the decree. The system is a well-designed, improvement over the previous EWS, improving levels of accuracy (problems with redundant reporting were eliminated) and ease of use. The bureau and the city are judged to be in secondary compliance with task 12-a. The bureau and the city continue to inspect and audit the records in the PARS, and quality control is an on-going process. In-place inspections and audit are required components of secondary compliance. During the week of the auditor’s site-visit, the command staff conducted its first quarterly analysis of PARS data. During that analysis, the command staff identified 21 officers who, based on their performance records, required additional supervision, training or counseling. The 21 officers noted by command staff exactly matched the 21 officers noted by the auditor in his earlier review of PARS data. In addition, the command staff review identified numerous officers who had performed well above the norm, and whose actions over the previous quarter were recommended for commendation. In addition, command staff began the process of pushing responsibility for quarterly analysis of PARS data to the level of sergeants and lieutenants.
The auditor’s electronic assessment of the PARs was validated with a review of paper-based records at the Office of Municipal Investigations and three of the
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police patrol zones. A total of 35 officers’ files were selected from the PARS for validation against the paper records at the zones and in OMI. In each of the 35 cases, the PARS records were virtually the same as the records maintained in the zones and in the files in OMI. The auditor found the records in PARS to be reasonably accurate and dependable. Any differences found between the paper files and PARS/OMS files were inconsequential to the purposes of the consent decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-b of the decree requires the city to build into the PARS the ability to retrieve information from the PARS by officer, squad, zone, unit, regarding the execution of “discretionary arrests,”1 traffic stops, searches and seizures, and use of force.
Methodology
During the site visit for the eighth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted in the city’s CIS conference room, using a “live” database from the operational PARS.
A review of the capabilities of the PARS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. A total of 35 separate tests were performed, using the PARS and its supporting OMS. The OMS reported accurately in each of the 35 separate tests, and the PARS accurately reflected the data contained in the OMS. The problem with duplicate reporting, evident in the earlier versions of OMS, is not carried

1 Defined by the decree as resisting arrest, disorderly, public intoxication, and interfering with the administration of justice.
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forward into the reporting formats of the PARS. The command staff notification system (red and yellow “flags” for officers registering more than one standard deviation above the mean) reported accurately during the testing. Modifications to the PARS have been made allowing tabular data to be reported along with graphic information in the PARS. During the week of the auditor’s site visit, command staff conducted a quarterly analysis, using the PARS, and independently identified each of the 21 officers the auditor had previously identified as requiring additional scrutiny, based on their performance in the area of discretionary arrests, traffic stops, searches and seizures, and use of force.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-c of the decree requires the city to archive the records in the PARS for three years after the involved officers’ separation from service, and requires that all records be archived indefinitely. In addition, it requires the city to enter all relevant data for three years prior to April 16, 1997.
Methodology
During the site visit for the eighth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted in the city’s CIS police systems room, using a “live database” from the operational PARS.
Data retention protocols for the PARS have been established which will meet the requirements of task 12-c. Data entry for the PARS for information related to bureau activities prior to April 16, 1997 has been completed for all data that could be found which were accurate. In some cases, this does not include all data between April 15, 1995 and April 16, 1999; however, the data that do exist in the PARS are the best available accurate data, based on information obtained from the city, the bureau and the Computer Information Services department of the city. After implementation of the PARS and Officer Management System during
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Page 9

the fifth quarter, some data which had been entered into the system were found to be inaccurate. The city has implemented steps to clean that data, and inaccurate data have been eliminated from the system. This major process of cleaning existing data was finally completed, as of the auditor’s last site visit, in August, 1999. Based on an independent review of 35 officers’ records, and matching those records with paper files at the zones and OMI records, it appears that data in the PARS are reasonably accurate and reliable. All 35 officers’ records, as reflected in the PARS, matched records included in the zone performance files and OMI records.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-d requires the city to develop a protocol for use of the PARS that would:
• Establish trigger thresholds for review of officer records by senior supervisors; • Establish requirements for frequency of review of officer records by senior
supervisors; • Establish the types of corrective actions to be taken by senior supervisors; • Establish confidentiality and security provisions for the PARS; • Establish requirements for quality assurance checks of data input; and • Have the protocol submitted for review 30 days before implementation.
The city has developed protocols for use of the PARS, including those controlling:
• Weapons discharges by a Bureau member; • Citizens complaints; • Civil claims arising from Bureau operations; • Initiation of criminal investigations against Bureau members; • Lawsuits arising from Bureau operations;
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Page 10

• Reporting subject resistance incidents; • Trend analysis; • Processing allegations of untruthfulness, racial bias, domestic violence, and
physical force;
• Managing search and seizure activity; and • Reporting and review of traffic stop and arrest data.

These protocols have been reviewed by the auditor, and found to be reasonable and effective responses to the requirements of the consent decree, and in fact, in many cases, to move beyond the requirements of the decree. The protocols also address the supervisory and managerial responses required by those reviewing officers’ actions. These protocols have been revised by the city, based on training provided by the auditor in August, 1999.

Methodology

During the site visit for the eighth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted using a live database from the operational PARS.

Now that the PARS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the PARS by the consent decree. The operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer behavior, in compliance with the requirements of the decree. The first use of the PARS for quarterly analyses of PBP operational performance was conducted August 6, 1999. The system provided all necessary information (see section 2.2.1, above), as required by this section of the decree, and given the implementation of the new protocols, the city is deemed to be in operational compliance with this section of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Page 11
Paragraph 13 requires the city to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the city to submit the policy to justice for approval prior to implementation.
Methodology
The auditor has reviewed the PBP’s use of force policy, which was completed prior to the deadline, and has assessed the policy for conformance to national standards and applicable law. The newly drafted policy, effective August 15, 1997 is well written, and is designed to allow the bureau to control effectively the use of force by the bureau’s officers.
Promulgation of the policy and the necessary training to implement it have been completed. Reporting and supervisory review processes have been implemented, and the bureau’s Subject Resistance Reports have been developed, disseminated, and implemented, and are currently being completed by PBP personnel.
Further, the auditor conducted a thorough review of a random sample of 32 incidents which generated Subject Resistance Reports by PBP personnel during the quarter. This quarter’s review of the SRRs was based on a larger sample than normal (17 percent v. 10 percent). The review conducted by the auditor indicates an acceptable level of command review, suggested by the fact that numerous reports were noted in which requests for additional information or rewrites of SRRs were made by supervisory, command or executive staff. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.
Other factors also indicate that the monitoring of use of force at the bureau is taken seriously.
• First, the files reviewed continue to indicate an apparent under-use of force on the part of the officers of the PBP, e.g., multiple instances in which the articulated facts supported higher levels of police force than was used.
• Second, evidence exists, in the form of follow-up memoranda command staff personnel to indicate that the PBP command staff are carefully scrutinizing field reports (SRRs and Field Contact Reports) for sufficiency. Further, incomplete reports, or reports that indicate officers took actions outside PBP policy, are returned to the reporting officers chains of command, along with requirements for appropriate re-training or counseling; and
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Page 12

• Third, in instances in which supervisory or command personnel approved problematic reports, they are being counseled, retrained or disciplined.

The final indicator of the improvements in review of use of force reports is that this is the first quarter that the audit of SRRs found no errors in the reporting and review process. It should be noted, however, that the “active supervisory presence” noted in previous audits of SRR reporting—comments from supervisors noting that they had been on the scene of the event documented in the report—was not present in the reports reviewed by the auditor for this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 14 requires the city to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.
Methodology
The auditor has reviewed PBP policy 45-1, “Strip and Body Cavity Searches.” The policy conforms to all requirements of the decree, and was promulgated and effective November 10, 1997. A review of the training records of the bureau indicates that, as of May, 1999, the department had trained all active duty officers in its strip search policy.2 In addition, the auditor has reviewed a randomly
2 The only officers not yet trained are those on extended medical, or similar, leave, and not performing law enforcement functions.
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selected sample of 89 completed “Field Contact/Search/Seizure Reports” (FCSSRs forms generated between May 16 and August 15, 199). One of these reports dealt with a strip search. Command-level review noted execution of the strip search in an unapproved area of the zone station, and counseling was ordered for the officer conducting the search. Further, the error was noted at the station level by a shift lieutenant. In addition, the auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and found that none reported a strip search. As noted in earlier quarterly audit reports, however, the department has established an effective review policy, and has, in the past through its inspections and audit process, noted the conduct of strip searches which fell outside of policy. The officers conducting these inappropriate strip searches were retrained, in addition to receiving written memoranda regarding their actions. The bureau is judged to remain in operational compliance on this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 15 requires the city to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
The city has conformed to paragraph 15 through development of several related policies, each of which requires a written report any time a police officer performs any of the above-listed actions. In addition, these protocols are supported by specific policies (12-6, Use of Force, 45-2 Warrantless Searches and Seizures, and 45-1 Strip and Body Cavity Searches). Each of these policies stipulates specific reporting procedures that are in conformance with the requirements of the decree, c.f., policies 12-6 @ 6.6, 45-1 @ 5.1, and 45-2 @ 3.1. The Department of Justice has approved these protocols viz. a viz. the decree (Use of Force on August 4, 1997 and Search and Seizure on November 10, 1997) based on the city’s submission on July 16, 1997. The Search and Seizure
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Page 14
protocol approval was delayed by discussion between the city and justice regarding specific provisions.
Methodology
The auditor reviewed training records for search and seizure and use of force topics. In addition, a randomly selected sample of Subject Resistance Reports and Field Contact/Search/Seizure Reports was reviewed to assess the level of accuracy of reporting and supervisory review for these reports. A sample of SRRs written on 32 incidents was selected for review, constituting a 17 percent sample of all SRRs for the quarter.
Training regarding Use of Force reporting was completed during the fourth quarter, and the reporting forms and guidelines have been implemented. Subject Resistance Reports are being processed by the department, and the day-to-day operation of controlling use of force by PBP officers appears to moving forward.
During the fourth quarter, training for “all officers” in search and seizure policies was substantially completed. As of May 15, 1999, all of the bureau’s 1,080 active-duty officers had been trained in search and seizure policies, except those on extended medical, or similar, leave. All had received a passing score on the content examination given by the training academy.
The average review time for all SRRs continues to be well within the required seven day period (at three days), and evidence exists to indicate that the supervisory review is an active review, often requiring additional information, rewriting of reports, or other actions on the part of the originating officer. None of the 32 SRRs reviewed for this quarter exhibited problems with reporting or review. Further, none of the 89 FCSRRs reviewed by the auditor this quarter exhibited problems with reporting or review. The “error rate” of zero falls well within the required 95 percent compliance rate for critical areas of the decree.
Of more import, perhaps, is that the PBP has established a formalized, universal command review of its FCSRRs and SRRs. Personnel at the command staff level now review for sufficiency every report filed by PBP personnel, and return for revision those which exhibit problems. More importantly, however, officers who prepare, and supervisors and commanders who approve, problematic reports are scheduled for retraining, counseling or discipline.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
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2.6 Assessing Compliance with Task 16: Reporting Traffic Stops

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 16 requires the city to establish reporting requirements each time a police officer makes a traffic stop. The city has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The bureau has begun collecting traffic stop data, using the form designed by the city. These data are available at the Zones, and have been entered into the PARS. The eighth quarter was the first quarter in which detailed assessment of traffic stop information was possible, as the tabular data from the PARS regarding traffic stops was available through the PARS as of this audit cycle. During the auditor’s site visit, PBP command staff conducted a quarterly analysis of PARS data, including traffic stop data, reported both in graphic and tabular form. The auditor identified four officers whose traffic stop demographics were substantially higher than the group norm. All but one of the zone commanders reported checking traffic stop data as part of their routine quarterly analysis, and all four of the officers identified by the auditor were also noted by zone commanders. The process of checking traffic stop data requires a comparison of the non-minority/minority ratio of drivers stopped for each officer checked, compared to similar statistics for the officer’s work group. Officers with substantially different “stop rates” than their peer work group are easily identified. Each commander’s explanation of the anomalies with traffic stops for their officers was related to the officer’s location and type of assignment, with one exception. With this officer, a tendency to focus on one specific area within his beat was noted, and further monitoring was discussed.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Paragraph 17 requires the city to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The city has developed protocols requiring such entry. The automated PARS has begun accepting data on police use of force and searches, and traffic stops are currently being entered into the system, as well. Data entry for pre-decree activities has been completed, although some data were not available, or were deemed inaccurate, and thus were not entered into the system. All pre-1998 data that were available and considered accurate have been entered into the PARS system, and are included in that system’s reports processes. Some data that were released through the “production” version of the Officer Management System were found to be inaccurate, and have been updated by CIS staff. The “repetitive reporting” problem which existed in the Officer Management System, as discussed in last quarter’s report in section 2.2, has been corrected as of the eighth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8 Assessing Compliance with Task 18: Audits of Use of Force

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7 Q8

PRIMARY SECONDARY
OPERATIONAL
Paragraph 18 requires the city to cause supervisors and senior supervisors to conduct “regular audits” of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.
Methodology
The audit team conducted a random selection of 32 incidents resulting in the completion of “Subject Resistance Reports” (a 17 percent sample of incidents for this quarter). The policy requires PBP officers to complete a SRR any time they use force to subdue a subject. Each of the reports selected was reviewed to ensure that the:
• Form was properly executed; • Form was reviewed by supervisors and senior supervisors within one week;
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• Supervisory review identifies problems with the use of force, where appropriate; and
• The review process is being implemented as required by the decree.
The results of the review indicate that the city is in primary compliance with the requirement of the decree: the policy regarding use of force reporting has been written and disseminated; the forms are being completed and reviewed; the forms are being forwarded to the training academy and to the administration division; and the forms are being filed as would be expected.
The city is in primary compliance with this task. Of the 42 SRRs reviewed, based on 32 incidents, all were appropriately reviewed. An error rate of zero is laudatory. More promising, however, is the PBP’s internal command review, established this quarter, for FCSRRs. The police legal advisor reviews every FCSSR completed by PBP personnel, and returns those reports deemed problematic for revision. More importantly, officers completing poor reports, or conducting searches or seizures outside PBP policy, are retrained or counseled. Commanders and supervisors who approve problematic reports are counseled, retrained or disciplined by the bureau.
In addition, while the city is currently assessing Section 18-a of the consent decree, which requires an OMI investigation of use-of-force incidents which result in “serious injury,” which is defined (at 11-f of the decree) as “any injury that results in death or that the city has reason to know requires or results in professional medical care or treatment” (decree, p. 5), progress has been made in managing the investigative process for use-of-force incidents which result in “serious injury”. Of the 32 incidents reviewed this quarter, only two of the SRR reports reviewed by the auditor indicated that the subject arrested received medical attention at hospital for injuries other than those attributable to OC spray. OMI selected each of the injury-related SRRs for review this quarter. Current OMI practice is to select for investigation all SRRs reporting professional treatment at hospitals.
Currently, the city is working to resolve this implementation issue. The potential re-interpretation of “serious injury” has been referred to the City Solicitor’s Office and the Department of Justice. Until this area of the decree is better-defined, however, the current working definition established by the decree was used to assess compliance.
During the eighth quarter, OMI selected for review four incidents resulting in “serious injury” to suspects. Also during the eighth quarter, OMI forwarded one of these cases to the auditor for review. The OMI review was reasonably complete and thorough. The city is judged to be in operational compliance with the requirements of this task.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. The bureau has completed its first quarterly analysis of use of force data, using the Officer Management System and PARS. The analysis identified use of force trends, as well as focusing on officers who recorded higher than average use-of-force rates. The command staff used the OMS and PARS to identify officers receiving complaints of excessive force, officers who had higherthan average levels of use-of-force rates in any one of the past four quarters, and to assess overall trends in use of force. These assessments became part of the first quarterly “Personnel Command Staff” (PCS) meeting minutes, along with recommendations for counseling, retraining or other solutions to issues raised with specific officers’ use of force practices. Protocols require follow-up at the next quarterly PCS meeting to evaluate the effectiveness of these solutions.

Using the PARS/OMS system, the auditor identified five officers whose use of force statistics were substantially higher than their group norms, and who, in the auditor’s opinion, required further scrutiny. All zone commanders checked subject resistance report data as part of their routine quarterly analysis, and all five of the officers identified by the auditor were also noted by zone commanders. The process of checking use of force data requires a complete PARS/OMS review, including actually pulling paper reports, for all officers who score one or more standard deviations above their work group norm in reporting use of force. Officers with substantially different “use of force rates” than their peer work group are easily identified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-a requires the city to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.

Methodology

During the eighth quarter, the bureau completed 546 reports of field contacts or search and seizure activity. A random sample of 89 FCSSRs completed during the eighth quarter was selected and analyzed to ensure the reports met the requirements of task 19-a.

Further, each of the 89 selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the 89 reports was assessed, and supporting documentation, where available, was reviewed.

The review process for FCSSRs has improved markedly this quarter. The police legal advisor now reviews each FCSSR for legal sufficiency, and staff in the Assistant Chief’s (Administration) review the reports for form and timeliness. None of the 89 files reviewed by the auditor this quarter contained errors in reporting or exhibited poor probable cause of “reason to suspect.” Officers who wrote problematic reports were requested to revise them, and were assigned to counseling or re-training. Supervisory and command staff personnel who approved problematic reports were assigned to counseling, retraining or discipline.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

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Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-b requires the city to analyze the search and seizure activity of its officers on a quarterly basis. The protocols and policies for search and seizure reporting have been completed, and training and implementation are completed. The PARS is now operational, and was used this quarter to review bureau performance in the area of field contacts and search and seizure. Command staff used search and seizure data, generated by PARS, to assess officers’ performance, identifying officers who were above average in this category. These officers were noted to be of two types: those who were active in search and seizure processes, but whose reports indicated no problematic behavior, and those whose activities indicated additional training, counseling, or supervision. The command staff selected the first group of officers for potential commendation, and the second group for potential remediation.

Overall, PARS data showed a general decline in the number of search and seizure reports completed by PBP operations personnel during the first three quarters of the reporting year. Fourth quarter statistics showed a dramatic increase in the number of reports; however, command staff analysis connected this increase to a “zero tolerance” policy implemented in two zones as a response to an increase in gang violence.

Using the PARS/OMS, the auditor identified four officers whose FCSSR data indicated a need for further scrutiny. All of the zone commanders reviewed each officer under their command whose FCSSR data exceeded work group norms by one or more standard deviation. This review included a thorough review of both electronic data, and a review of actual FCSSR completed by these officers. The command staff review noted each of the four officers earlier identified, independently, by the auditor as indicating a need for further scrutiny.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY
OPERATIONAL
Paragraph 20-a requires the city to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.
Methodology
During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial bias. During the eighth quarter, no allegations of racial bias on the part of Bureau officers were lodged with OMI. During the fourth quarter, however, three were found that were investigated between May 16 and August 15, 1998: AQR4-E, AQR4-J, and AQR4-P. Of these three, one was sustained. The single sustained complaint alleging racial bias was reviewed by the officer’s chain of command within seven days of receipt of notice of the sustained finding from OMI. Appropriate disciplinary action was taken in this case (suspension).

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias

Apr 97 Q1

Q2

Q3

Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL
Paragraph 20-b requires supervisors to use the PARS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. The bureau, during
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Page 22
the week of August 2, 1999, developed a specific protocol for quarterly analysis of potential indicators of racial bias. The protocol requires the command staff to review an officer’s complete PARS file if any of eight events involving the officer occur during any given quarter.
These events include:
• Notation on the Supervisor’s Daily Activity Report (SDAR) of any indication of racial or gender bias on the part of a given officer;
• A complaint by a supervisor of racial or gender bias against an officer; • A peer compliant of racial or gender bias; • An OMI complaint of racial or gender bias; • Filing of a lawsuit, in which the officer is named, contending racial or gender
bias; • Any indication, during a normal review of routine police reports (offense
reports, arrest reports, search and seizure reports, subject resistance reports, etc.) that an officer indicates potential racial or gender bias; • Comments made by an officer indicating racial or gender bias; or • A non-OMI complaint of gender or racial bias.
• During the week of August 2, 1999, the command staff updated the protocol for quarterly analysis of potential racial bias. The protocol requires the command staff to review an officer’s complete PARS file (use of force, search and seizure, discretionary arrests and traffic stops) if any of eight specific events (noted above) involving the officer occur during any given quarter.
The quarterly analysis conducted by command staff during the week of August 2, 1999 identified four officers with at least one of these “trigger” events. In addition, all command personnel reviewed use of force and search and seizure data, reported in PARS, for all of their personnel indicating activity levels one or more standard deviations above their work group norms in these areas. Five of the six zone commanders reviewed discretionary arrests and traffic stop data as part of their racial bias review. The sixth commander commands a low volume zone, and had no officers—based on the auditor’s review—who required additional scrutiny based on performance measures in the PARS (traffic stops, discretionary arrests, use of force, or search and seizure activity). Commanders of SDD and the Community Oriented Policing Unit also reviewed use of force, search and seizure, traffic stop and discretionary arrest data for their personnel.
In each of the four cases noted by the auditor as requiring additional scrutiny, the command staff reviewed the officers’ entire OMS/PARS files, and recommended appropriate remedial or supervisory measures. In addition, all zone and unit commanders conducted a thorough and perceptive review of officer activity in the
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areas of use of force, and search and seizure, pulling and reviewing paper file reports of use of force and search and seizure activity for officers indicated as one or more standard deviations above the mean in either category. The bureau is judged to be in operational compliance with the requirements of task 20-a.
Preliminary steps have been taken to move responsibilities for this type of review to the supervisory ranks of sergeant and lieutenant, in addition to the responsibilities currently assigned to the command staff. Continued compliance is dependent upon satisfactory performance of sergeants and lieutenants as they review OMS/PARS data on the officers under their command, and respond reasonably to indications of potential problems and indicators of superior performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 21-a requires the city to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a three-year period, or five or more complaints in a two-year period.
Methodology
Based on records obtained from the office of the chief of police, 11 individual disciplinary actions were taken by the bureau during the period of time covered by this report—down substantially from the seventh quarter. Of these 11, only two involved citizen complaints or interactions with citizens. Disciplinary actions for those two incidents were taken during this quarter. The auditor reviewed both disciplinary actions reported for the eighth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline. For example, departmental discipline included:
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Page 24
• Oral reprimand and referral for anger management classes for conduct toward the public and conduct unbecoming a police officer; and
• A five-day suspension pending termination for violation of the police code of ethics.
Based on the protocols of progressive discipline, the bureau is responding within its anticipated range of responses in delivering discipline.
As noted in Section 2.35 below, the Bureau has been taking consistent action with officers who receive three “similar” citizen’s complaints in a three-year period, or five citizen’s complaints of any nature in a five-year period. The Bureau protocol calls for a “Preliminary Complaint Review” to be conducted with officers meeting either of these trigger thresholds. Each quarter, for the past eight quarters, the on-site audit has included an on-site assessment of performance files at the zones (randomly selected each quarter). Part of this onsite audit at the zones is to ensure that officers who have met the three-in-two or five-in-two thresholds are processed appropriately. With the exception of the fifth quarterly report, the Bureau has been in compliance with the requirements of the decree in dealing appropriately with officers exhibiting citizen complaints in excess of the numbers stipulated. That compliance continues this quarter, as confirmed by a zone audit at zones one, three and five. A review by the auditor noted six officers in these three zones meeting the three-in-two or five-in-two threshold. Each of these officer’s performance files in the zones included a Preliminary Complaint Review form noting a supervisory counseling upon the officer reaching the complaint threshold.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 21-b requires the city to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on review of officer behavior.

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Methodology

The auditor reviewed the bureau’s disciplinary processes for the period from May 16, 1999 to August 15, 1999. The bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the bureau included retraining, counseling, one-on-one discussions with the legal advisor, and other appropriate forms of “retraining” and “counseling.” One incident of assigned discipline related to a requirement for counseling in response to a sustained citizen’s complaint. That discipline included an oral reprimand and referral to anger management classes for the use of profanity during an altercation with the complaining citizen. It was the officer’s first citizen’s complaint.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.2 Compliance with Task 21-c: Consider Prior Record in Determining Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 21-c requires the city to consider an officer’s prior record in determining discipline.

Methodology

According to records provided by the bureau and the Office of Municipal Investigations, 11 individual disciplinary actions were taken by the bureau this quarter. Each of the 11 disciplinary actions taken by the bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. None of the disciplinary actions taken this quarter indicated a modification to discipline based on past record. However, given the bureau’s previous performance in this area the bureau is deemed to continue, absent evidence to the contrary, in operational compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance 2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 22 requires the PBP to establish disciplinary action files, or “performance files” at the zone level.

Methodology

The audit of the “performance files” at the zone levels for this quarter consisted of assessing both electronic and paper files. Officers’ electronic files were assessed at three zones this quarter, zones one, three and five, to determine if any of the officers had, in the last quarter, received a sufficient number of citizens’ complaints, disciplinary actions, etc. to require new entries in their performance files. The electronic review, using the on-line Officer Management System indicated that zones one, three and five had eight active officers who would have been required to have updates made to their performance files this quarter. All of the officers’ files was found to have had the appropriate updates made in their performance files. In addition, 27 other officer’s files were reviewed for accuracy during this assessment.

As with the requirement to assess use of force issues, the bureau is in primary compliance with the stipulation of task 22: A series of chief’s orders has been promulgated (97-009 and 97-024), establishing a requirement for zone commanders to maintain “performance files” which conform to the requirements of the consent decree.

An assessment of the zones’ performance on this task indicates that the bureau is also in secondary compliance with this task: systems for developing, transferring, disseminating, filing and managing officers’ performance files have been developed. Based on the complete sample of records in zones one, three and five, the bureau is judged to be in operational compliance with the requirements of this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance
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2.13 Compliance with Task 23: Annual Performance Evaluation

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 23 requires the city to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

The bureau has developed a performance evaluation policy which meets the requirements of the decree, and which was approved and disseminated in April, 1998. Training regarding the performance evaluation system has been completed. The third wave of performance evaluations was completed in June, 1999, and the fourth wave is planned for December, 1999. During the course of its review of zones one, three and five, the audit team reviewed selected officers’ files for the presence of completed performance reviews. All of the officers’ files were found to be complete, with performance review documentation present in each.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 24 requires the city to use performance evaluations as a factor in promotional decisions.
Methodology
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Page 28

The bureau has developed a performance evaluation policy which meets the requirements of the decree, and the policy was implemented in June, 1998. The bureau promoted 17 individuals during the fifth quarter, and each of their performance evaluations was reviewed. No remarks, actions or characteristics were found in any of the 17 files that would have indicated inappropriate decisions were made in any of the promotions. No promotions were made during the seventh or eighth quarters. The bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 25 requires the city to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.
Methodology
The auditor’s team visited three randomly selected unit location (zone one, three and five) to assess the degree of compliance with paragraph 25. During the site visits, the auditor conducted walk through inspections of zone facilities such as bulletin boards and office space.
Evidence exists to support the bureau’s operational compliance with paragraph 25. Past reviews of zone “performance files” indicate that the EAP is being used by departmental personnel and departmental managers. The counselors assigned to the EAP were interviewed during the first quarter by the auditor’s staff, and appear to be both experienced and knowledgeable concerning EAP practice and standards. It appears that EAP participation is non-retributive and meets established practice for such programs. Bureau discipline continues to use the EAP as part of its progressive discipline campaign. One officer was
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Page 29

assigned to anger management classes this quarter as a result of a confrontation with a citizen.

Departmental policy requires the posting of EAP flyers at each of the zone stations, at the zones visited, the flyers were readily visible in the station.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.16 Compliance with Task 26: Notification of Adverse Involvement

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 26 requires the city to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the city to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

During the auditor’s review of departmental personnel files, the files were assessed for evidence of implementation of PBP Policy 44-5, effective 8-25-97, which requires notification of the chain of command any time:

• A warrant is to be served on a member of the service; • A protective order is to be served on a member of the service; • An on-scene arrest is made of a member of the service; • An officer is arrested by another agency other than the PBP; or • An officer of the service is the subject of a civil suit.

A review of Bureau records indicates that the bureau continues to monitor its officers’ activities for adverse involvement. One such notice was found, involving an arrest for an indecent assault. The bureau continues to monitor these activities and provide appropriate discipline, where necessary. None of the DARs filed by the bureau this quarter involved adverse involvement reports.

Status:

Primary: In compliance Secondary: In Compliance
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Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
Secondary
Operational
Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.

Methodology

A review of records available during the time frame of the eighth quarterly audit indicated three criminal proceedings in progress against PBP officers, none of which involve allegations of false arrest. One of the criminal charges does involve an allegation of an unconstitutional and unwarranted strip search. This case, along with two others, have been monitored by OMI since the seventh quarterly report. The office has completed investigations involving these three officers, and has forwarded these investigations to the bureau for review.

The bureau has established an agreement with the district attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearings lost as a result of illegal activity. Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum “detailing the results of the hearing.”

PBP policy calls for these memoranda to be forwarded to OMI for their review. Based on concerns expressed by the auditor that the DA’s office has forwarded no notifications of lost suppression hearings, etc., the chief of police has modified the reporting practice between the district attorney and the bureau. Court liaison personnel will begin to specifically inquire, during monthly meetings with DA staff, about lost suppression hearings, and allegations of false arrest or improper searches on the part of PBP officers.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

2.18 Compliance with Task 28: Settled Litigation

Sanctions for Officers Involved in

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY Operational
Secondary
Paragraph 28 requires the city to implement appropriate discipline “as the circumstances and OMI investigation warrant,” in all instances in which PBP officers are the subject of civil litigation.

Methodology

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation. No settled litigation was noted during the eighth quarter. During the sixth quarterly audit, the department received notification of settled litigation involving two Bureau officers. During the seventh quarter, this case was reviewed by command staff, and disciplinary action was taken in April, 1999. It is clear from the review that the department continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONA L
Paragraph 29 requires the city to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

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Methodology

The auditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the bureau, publishing legal bulletins, seven during the eighth quarter, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.20 Compliance with Task 30: Develop a Rotation Schedule

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.
Methodology
The PBP has developed a personnel rotation plan, and has implemented the first phase of the plan during the second quarter. The plan, supported by Chief’s Memo 97-550, has transferred 91 officers to other assignments through January 1, 1998. Additional officers continue to be transferred as part of this rotation policy, with 95 officers transferred in December, 1998, and an additional 157 officers transferred in September, 1998. Transfers have continued through the eighth quarter, with all assistant chiefs having been transferred to new duty assignments in May, 1999, and an additional 29 officers transferred to new duty assignments during the quarter. Many of these transfers are routine transfers of personnel, necessitated by normal operational decisions. Decree-related, largescale transfers are planned annually, for implementation in January. The next cycle of consent-decree transfers is anticipated in January, 2000.
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Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 31 requires the PBP to “make every effort” to participate in community meetings, including those oriented toward minority groups.

Methodology

The auditor reviewed monthly attendance logs for police zones for the months of May 16, 1999, through August 2, 1999. The logs show multiple community meetings attended by PBP personnel, although the volume of meetings is reduced, presumably due to the fact that community meetings are more sparse during the summer months. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the city to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.
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Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. For the last six quarters, the city has developed and aired (on average eight times daily) on the city’s public access cable channel a professionally created video tape explaining OMI’s function in investigating complaints of alleged misconduct against city employees. The video covers all important aspects of the internal investigations process, and according to the city, reaches 105,000 households throughout the Pittsburgh area. Based on 2.7 residents per household (a national average), the video is reaching nearly all of Pittsburgh’s residents. The city has also printed a brochure explaining the OMI function and has distributed the brochure to all of the city’s community organizations and placed these brochures in all city buildings. Members of the audit team noted the presence of these brochures at all zones visited (one, three and five) during the site visit for the eighth quarterly report.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 33 requires the city to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.
Methodology
The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted a site-visit of the training academy, and have interviewed many of the personnel assigned to the training academy. The bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 1999, the bureau has continued to train its officers in the topics of cultural diversity, “effective communication” and ethics. To date, according to the training academy’s records, all but eleven Bureau personnel have received training in cultural
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diversity for the 1998-99 training cycle. The next quarterly audit, in November of 1999, will again focus on an intensive review of the training academy function.

More importantly, perhaps, the department is currently engaged in a reengineering effort for its cultural diversity program. The revised curriculum for this topic is being developed by a Cultural Diversity Task Force Team, which will assist the training academy in developing the new curriculum. Research for the revised training curriculum is complete, and entails a careful analysis of demographics, linguistics, process and impact of diversity. This is exactly the nature of the processes identified as needed for operational compliance—moving beyond mere “letter of the law” compliance to a process of critically assessing the impact of tasks on the policing environment.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 34 requires the city to establish monitoring systems which will assess citizens complaints for indicators of needs in training or re-training. The bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.
Methodology
In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports.
It is clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the seventh quarter, training academy staff completed a review of citizens complaints and use of force reports
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Public Management Resources San Antonio, Texas

Page 36

with the aim of improving, where applicable, training curricula. Reports from the academy are reviewed, assessed and critiqued by command staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 35 requires the city to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de-escalation training “into all other training that implicates the use of force.”
Methodology
The city and the bureau continue to make progress toward compliance with this task. The city is currently under contract with a nationally recognized consultant to deliver a series of classes on “verbal judo,” a process of verbal de-escalation which is recognized nationally as effective in reducing police-involved violence. To date, the bureau has trained all but 14 of its 1,080 eligible officers (with the exception being those on extended medical or similar leave, and thus not performing police duties) in “verbal judo” and/or tactical communications.
The bureau-wide process of reviewing all use-of-force curricula is currently continuing, in a joint program between the City Law Department and the bureau of Police. One staff attorney from the City Solicitor’s office is working with Training Academy staff to develop a comprehensive review of the PBP’s training curriculum with respect to use of force training.
The goal is development of a five-year training plan and a revision/rewrite of all aspects of the curriculum which entail police use of force—or avoidance thereof. The process has proven an effective policy review and revision mechanism, as it has developed plans for the removal of the “neck restraint” and “neck restraint to retrieve narcotics,” two problematic use of force activities, from the inventory of acceptable methods of use of force. The “neck restraint” will be replaced with the Lateral Vascular Neck Restraint, and this process will be
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Public Management Resources San Antonio, Texas

Page 37

classified—appropriately—as deadly force. These changes have not been incorporated into PBP policy as of the eighth quarterly audit; however. the auditor has noted a significant drop in the occurrences of one problematic use of force maneuver, the “chokehold to recover narcotics.”

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 36 requires the city to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation “at the beginning of the training curriculum to serve as a foundation for all other classes.” No recruits were trained in the eighth quarter. The last recruit class offered by the PBP ran from May 19, 1997 through October 24, 1997. The recruit curriculum offered “ethics” training in weeks three and four, human relations skills in weeks four and five, multi-cultural training in week six. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree. No new recruit classes have been offered since October, 1997, thus no additional audit of the recruit training curriculum was possible.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Public Management Resources San Antonio, Texas

Page 38

Paragraph 37 requires the city to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the bureau’s curriculum outlines for cultural diversity and ethics. In addition, the auditor has reviewed other curriculum components which he asked to be forwarded for review. The Academy’s maintenance of training records for non-mandatory training has been substantially updated since the third quarterly report. According to academy records, all but 19 of the department’s 1,0743 eligible personnel (98 percent) have received training in ethics. The bureau has contracted with a nationally-recognized provider of training in police ethics, and has substantially revised the curriculum for the 1999 calendar year. The latest ethics training was conducted in July, 1999 as part of the State of Pennsylvania’s mandatory training cycle.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 38 requires the city to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.
Methodology
The auditor assessed primary steps necessary to complete the tasks required by this paragraph. The bureau has completed work on a script for a training video;

3 The Academy’s training records appear to have been cleared of retired officers, terminated officers, and deceased officers, bringing the total number of employees in the database to 1,074 currently working officers, and 19 officers on extended leave or other non-functional assignments.
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Page 39

the script has passed legal review, and the initial taping has been completed. An initial session was presented by the OMI manager to recruits. The training of “all officers” in the OMI complaint process has been completed for all officers except those on extended leave. Based on a review of the training records, the department has trained approximately 98 percent of its officers in the OMI process.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.29 Compliance with Task 39:

Encourage Qualified FTO

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 39 requires the city to recruit “highly qualified” Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the city to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.
Methodology
During the first quarterly report, the auditor selected slightly more than a 50 percent sample of the 25 newly appointed FTOs selected by the bureau for its new recruits. Each of the 13 records selected was screened for poor disciplinary record, complaint history, and past performance. Given the bureau’s delay in implementing paragraph 23 (performance evaluations) these evaluations could not be used in selecting the FTOs appointed in July, 1997; however, recent reevaluations of FTO performance included performance evaluations in the evaluation packet.
The auditor found all of the 13 officers’ files to be reflective of police careers that would recommend a role as an FTO. The field training officers’ records were clean of any civilian complaints that would require disqualification as an FTO. No new FTOs were appointed during the fourth quarter.
In addition, the auditor pulled a random sample of 15 PBP instructors’ files to assess completeness, accuracy, and conformance to established standards.
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Page 40

Further, the auditor checked each instructor who taught at the Academy during the second quarter to ensure that they were certified to teach the subjects they taught during the quarter. Each file checked was complete, accurate, and organized as one would expect. All instructors checked were certified by the state—or other certifying agency—to teach the topics they were assigned.

No new FTOs have been appointed by the bureau since July, 1997, thus the bureau remains in operational compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40:

Train all FTOs and Instructors

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 40 requires the city to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the city require FTOs and instructors to “demonstrate on a regular basis, their proficiency in their areas of instruction.”
Methodology
The auditor reviewed the training curriculum for FTOs and instructors provided through contract for the PBP. All instructors and FTOs are first “instructor development certified” by either the Federal Bureau of Investigation or Indiana University-Pennsylvania. FTOs then receive an additional five days of training at the PBP Academy for specific FTO-related topics. The specific provisions of paragraph 40 requires “demonstration on a regular basis…[of] proficiency in their areas of instruction.” The Police Bureau requires a formal assessment, using two forms specifically designed for evaluation, of the FTOs. The first (“Field Training and Evaluation Program—FTO Critique Form) is a two-page evaluation completed by field trainees. The form evaluates FTOs relative to the trainees’ assessment of the FTO’s ability, interest, knowledge, skill, ability to communicate, and fairness. The aggregate data collected through this process is shared with the FTO by the Academy commander. In addition, the PBP assesses FTOs by requiring their supervisors to complete an evaluation form (Field Training and Evaluation Program—FTS Critique Form). This form requires
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Page 41

supervisors to rate FTOs on their skill as a trainer, their ability to communicate, their fairness, promptness, and attendance. These data as well are shared with the FTO.

In addition, the Academy tests for all consent-decree and state mandated training classes. The Academy evaluates instructor proficiency through these test scores, assuming that effective instructors produce students who can pass Bureau and State exams. The process of testing for all consent decree-related training is relatively new; however, during the fifth quarter, more than 1,000 exam scores were reviewed by the auditor. The vast majority of test scores of PBP personnel were in the 85-100 range (of a possible 100). The examinations that the auditor reviewed indicated a close correlation between the instructor’s syllabus and the exams. Further, a review of the examinations indicated that they are substantive and not, on their face, overly simple or easy to pass.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 41 requires the city to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”
Methodology
The auditor conducted a thorough second-quarter review of the Academy’s training records during a site visit to the Academy. Selected training curricula were assessed, and specific documents were selected for further analysis. This included training records for state-mandated and consent decree-related training. These records now appear to be up to date and complete. The records are kept in useable format, and are managed by a sworn officer, adept in manipulation of the database, and capable of generating ad hoc reports. The records currently can generate reports by officer, training topic, hours, date and test score.
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Page 42

Changes to the Academy’s record-keeping processes continue to evolve. In addition, this quarter’s assessment shows the records to be free from error, and to exhibit a “living” quality, i.e., they are updated frequently, and are subjected to error checking and correction processes. The Academy currently forwards training records to the auditor electronically. The bureau continues to be in compliance with this task. A review of new training curricula and syllabi during the seventh quarter indicates continued adherence to national standards regarding documentation of the training process. A second full-scale review of the training academy is scheduled for the ninth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42:

Document Mandatory Counselings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 42 requires the city to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of data for the eighth quarterly report, the department’s centralized file which is used to document mandatory counselings was reviewed. No mandatory counseling sessions were ordered this quarter for PBP personnel. Based on past performance, however, the bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.33 Compliance with Task 43: Training

Annual Supervisory and Leadership

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 43 requires the city to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors The bureau continues to move forward with training for its senior supervisors. All supervisors have received the updated ethics training being designed by the bureau. Test scores for senior supervisors continue to average in the high 80s.

It appears, from the records available at this time, that nearly all senior supervisors have been trained at Pennsylvania State University’s “POLEX” command staff training program. An in-service component on “integrity” has been developed, and all senior supervisors have received this updated training, offered by one of the most respected names in the field.

The bureau continues to avail itself of annual in-service training for command personnel, with topics including cultural diversity, ethics, and command accountability, although some topics are not received annually by all command personnel. A complete review of command staff leadership training is scheduled for the ninth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.34 Compliance with Task 44: OMI Quality Assurance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

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Page 44

Paragraph 44 requires the city to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available for OMI investigations from 1986 through 1999. Using this database, records of complaints for individual officers can be easily identified; however, assessment of complaint history on a routine basis, for all officers, is cumbersome and difficult. As of September 1, 1999, the OMI manager, the intake coordinator and one investigator have been trained in the new PARS program.

Given several innate weaknesses in the OMI database, the system is currently being re-written, transitioning it into a more suitable management tool. The audit team met with representatives of CIS during the May site visit and discussed plans for revision of the OMI management information system. The auditor reviewed the prototype of the new system during the August site visit, and has found it to be an acceptable response to the requirements of this section of the consent decree. Projections call for the new OMI management system to be online in November, 1999.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Page 45

Paragraph 45 requires the city to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

The auditor has reviewed Chief’s Orders 97-009 and 97-024 which established the zone “performance files.” These orders required the creation of disciplinary files at the zone level which “contain all OMI and non-OMI complaints that have been filed against the officer,” (CO 97-009). CO 97-024 requires that performance files “shall be available to personnel within the officers’ chain of command … responsible for the officers’ training, counseling, or discipline.”

The PBP continues to provide access to police officers’ files in an area of each zone station house which is accessible to sergeants and lieutenants working evening and night turns.

All officers at zones one, three and five who had received three complaints of a similar nature in the past two years or five complaints within the last two years were appropriately noted in the performance files. The bureau remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
OPERATIONAL
SECONDARY
Paragraph 46 requires the city maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the city to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be “identical” to that received by OMI police investigators. The paragraph further requires that the city make the OMI manual available for inspection at PBP facilities and at the OMI office.
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Page 46

Methodology

The auditor reviewed the OMI manual, as promulgated on December 1, 1997, for revisions and assessed OMI training documents. In addition, the auditor reviewed training records for OMI personnel. Records provided by OMI indicate that all new civilian OMI investigators have received on-site training during the eighth quarter, and the office continues to implement its training plan for investigative personnel.

The Office is in primary compliance with the requirements relating to promulgation of an OMI manual, and provision of training for OMI staff. In addition, the Office has developed an annual training plan for 1998-99, and made all suggested revisions in the OMI manual during the last quarter. No new revisions were made this quarter. As part of the scheduled review of training during the ninth (next) quarterly site visit, a comprehensive review of OMI training will also be conducted.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47:

Receipt of Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 47 requires the city to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.
Methodology
The auditor reviewed final reports of all of 12 completed OMI investigations of citizens’ complaints (completed this quarter) to assess the method of receipt and to determine if any complainants were “required” to complete any OMI form prior to receipt of the complaint and initiation of the investigation. A more detailed review of supporting documentation was conducted of five cases completed this quarter.

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Page 47

The revised OMI manual was assessed to determine levels of compliance with the stipulations of paragraph 47 and the consent decree. The OMI manual requires that complaints will be received via telephone, facsimile, mail, or in person, as well as anonymously. Revised OMI form 103-97 includes a checkbox for each receipt method. Further, the auditor assessed completed OMI complaint investigations to determine if complaints were being received in accordance with the decree.

Evidence was available in the completed investigations to indicate the particular method by which complaints were being received. In the investigations reviewed by the auditor, ample evidence existed of receipt of complaints via telephone, letter, or in-person. One citizen complaint investigation completed this quarter involved an anonymous complainant.

Completed investigations were reviewed for any indication of requirements for complainants to complete forms prior to initiation of an investigation. None of the 12 files reviewed included any form completed by a complainant.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 48 requires that the city accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

Completed OMI complaints were assessed for the source of the complaint. One anonymous complaint was resolved this quarter. That complaint was investigated thoroughly and completely. The city is judged to be in operational compliance with task 48.

Status:

Primary:

In Compliance
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Page 48

Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49:

Closure of OMI Investigations

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. In addition, a sample of completed investigations over the last five quarters was assessed to determine if any of the complainants in these cases had withdrawn the complaint. One such complaint was found, during the fourth quarter, in which the complainant signed an official “notice” of withdrawal of his complaint. The OMI investigation, nonetheless, was completed, and was thorough. No withdrawn complaints were found during the eighth quarterly audit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 50 requires the city to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the city publicize the new OMI location.
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Page 49

Methodology

During the second quarter, the auditor verified that OMI had been relocated, and assessed the relocation as meeting the requirements of the decree. The only element precluding operational compliance with section 50 of the decree, at that time, was lack of “notice” to the public of the relocation. During the auditor’s site visit for the fourth quarter’s audit, the level of notice of the relocation was assessed. The city has taken proactive steps to publicize the location or function of OMI since the last quarter. A public-access video has been aired detailing the Office’s new location, and thousands of brochures have been printed and distributed noting the Office’s new location. These brochures were available at all city buildings visited by the auditor this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 51 precludes the city from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the city to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The city is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings “in all city buildings.”
Methodology
The auditor reviewed supporting documentation for five of the 12 citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a city facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes, over the telephone, and by meeting
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Page 50

individuals at locations convenient to them. The auditor reviewed attendance logs for OMI’s quarterly meetings (held May 16, 1999 and August 2, 1999), and reviewed the newly revised OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings. Further, the auditor assessed completed OMI investigations to attempt to identify whether or not complainants were required to come to a PBP facility to register a complaint or make a statement.

The quarterly attendance logs indicate that OMI personnel have conformed to the requirement to attend quarterly meetings. While they offer to take complaints at these meetings, according to staff, no such complaints have been registered or investigated. The OMI manual, at section 4-1(B) stipulates that “OMI also accepts complaints during quarterly, off-premises meetings in rotating zones.” This quarter, the city advertised zone meetings in city buildings, and provided copies of publicity notices used to publicize the OMI quarterly meetings in city buildings. Further, the brochures printed by the city and the video completed and aired to all cable recipients, provides further information regarding identifying the location of zone meetings (by providing a contact name and a telephone number). While no logs were provided to ensure that “all city buildings” had posted notices of zone meeting dates, time and locations, the use of the OMI public-access video, coupled with the printed OMI brochure, gives, in the opinion of the auditor, ample notice allowing those interested to attend zone meetings. Further, it should be noted that each city facility the audit team visited this quarter had the OMI brochures prominently displayed in public areas.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 52 requires the city to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.
Methodology

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Page 51

The auditor attempted to track the paper trail from OMI to zone-level senior supervisors, and to find any evidence at the zone level of notification from OMI of use of force, improper search or seizure or racial bias. OMI does issues monthly reports identifying officers complained against, the type of complaint and a brief narrative. These reports are forwarded to the Chief of Police, and the Deputy Chief for Operations, and through them to the zone commanders. In addition, any complaint alleging racial bias is automatically forwarded to the Human Relations Commission (although this process is not treated in the new OMI manual).

During this quarter’s site visit, the auditor was able to track a “paper trail” of notice to senior supervisors of complaints filed by citizens, noting dissemination of quarterly and monthly OMI reports to senior supervisors of the bureau of Police. In addition, notice is sent to each zone, and filed in the zone performance file, of OMI investigations of allegations against officers assigned to the zones. This includes all allegations, including those of improper use of force, search and seizure and racial bias.

The bureau is deemed to be in operational compliance for task 52.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation

Responsibility for Complaint

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 53 requires the city to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to “settle” OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.
Methodology
The auditor reviewed the OMI manual for sections relating to paragraph 53, interviewed OMI personnel, and reviewed OMI case files for any indication of incompleted or “withdrawn or settled” OMI cases. Section 2-1 of OMI’s new manual charges OMI with jurisdiction to “investigate all personnel of any
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department of the city of Pittsburgh...” and specifically notes the departments over which OMI has investigative authority, including the PBP. A review of all 12 of the completed OMI investigations for this quarter reveals no evidence to indicate that the city does not remain in compliance with this task. No cases were found in this quarter which the complainant officially notified OMI of his desire to withdraw his complaint.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Number on Request

Officers to Provide Name and Badge

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, “Conduct Toward the Public” requires that “when requested by any person, a member shall give his name and badge number in a courteous manner.”

Methodology

The auditor reviewed a sample of completed OMI cases for the eighth quarter (May 16, 1999 through August 2, 1999) to determine if allegations of failure to provide name and badge number were made to OMI. None were found; however, the bureau did sustain one allegation of failure to provide name and badge number during the sixth quarter. The bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.45 Compliance with Task 55: Alternative Sites

Interview of Complainants at

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants “off-site,” if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted “off site.” Among the 12 completed investigations assessed during this quarter, ample evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: Interviews

OMI to Tape and Transcribe

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept “special reports” in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.

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Page 54

Methodology

The OMI manual stipulates a “Tape Recorded Statement Form” and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed five (of 11) completed investigations of citizens’ complaints provided by OMI based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases in which interviews were conducted after resolution of the Fraternal Order of Police’s “test case” on this issue included transcriptions of OMI interviews of officers, witnesses or complainants.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57:

OMI Staff Access to PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 57 stipulates that OMI staff should be provided access to the city’s PARS. The manager of OMI, the intake coordinator and one investigator have been trained in the use of the PARS. OMI currently is not using OMS/PARS to prepare complaint histories, assignment histories, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

2.48 Compliance with Task 58:

OMI to Interview Supervisors at

Scenes of Incidents Leading to Allegations of Misconduct

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

As noted in the first auditor’s quarterly report, the OMI manual contains language concerning the need to interview senior supervisors and supervisors; its revised version requires OMI investigators to determine the supervisors’ “handling of … situation[s] during and after the alleged incident[s]” and their “observations of the complainant[s] and the accused officers.”

Further, OMI case reports which were reviewed were assessed for any evidence that the investigator had attempted to locate any potential supervisors at the scene. None of the 12 cases reviewed during the eighth quarter produced an indication that supervisory personnel were present. Based on previous performance, however, the city remains in compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59:

OMI to Canvass for Witnesses

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 59 requires OMI to canvas the scene of an incident for witnesses “as soon as possible” after receiving a complaint where canvassing could “reasonably yield” additional information.
Methodology
The auditor reviewed the OMI manual, Section 6-1G, which requires neighborhood canvasses, “as soon as possible” after receiving a complaint. Case tracking forms also include a “check off” box for witnesses located through the canvassing process.
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The auditor reviewed all 12 completed OMI cases for the eighth quarter (May 16, 1999 through August 6) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Of the five cases reviewed, all included documented efforts to reach witnesses.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60:

OMI to Review Police Shootings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the eighth quarter and found one (the same number investigated during the last quarter). The Office reviewed this shooting, using a newly developed officer-involved shooting protocol. The Office is judged to have remained in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: Allegations of Misconduct

OMI to Aggressively Investigate

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Page 57

Paragraph 61 requires that OMI investigators “aggressively” investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed 12 of 12 OMI investigations completed from, February 16 1999, to May 15, 1999, to assess the level of compliance with paragraph 61.

The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting.

Of the five investigations assessed for the eighth quarter, all appeared to have been professionally conducted, and to meet minimum standards for professional internal investigations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.52 Compliance with Task 62: Four Corners”

OMI to Act on Behavior “Outside the

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled “outside the four corners” of the original complaint.
Methodology
The auditor reviewed the OMI manual for reference to the requirement to note conduct “outside the four corners” of the complaint which violates departmental policy or procedures. The OMI manual refers to such complaints as “collateral misconduct,” and stipulates in Section 6-8 that “if, during the course of an OMI investigation, an OMI investigator has reason to believe that … collateral
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Page 58

misconduct [occurred] the investigator must investigate and make findings with regard to such collateral misconduct.”

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.

Methodology

The auditor reviewed final reports of all 12 investigations completed by OMI between May 16, 1999 and August 6, 1999. In addition, the auditor reviewed supporting documentation for five of the 12 reports issued this quarter. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Each of the 12 files assessed contained evidence of continued improvement in form, style and substance. All requisite reports, checklists, forms and documentation were present in each of the reports reviewed for supporting documentation. All of the investigations were conducted in a manner that meets acceptable standards for internal investigations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.54 Compliance with Task 64: OMI to be Adequately Staffed

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 64 requires the city to provide OMI with “sufficient staff, funds and resources to perform the functions required” by the decree, and establishes requirements for selection as an OMI investigator.

Methodology

Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree, is relatively easy to define: the Office is adequately staffed when the number of completed cases equals the number of cases received by the Office, over a protracted period of time. During the last eight quarters, the ratio of complaints cleared to complaints received has never exceeded 75 percent. While additional personnel were added to the OMI complement during the eighth quarter, yielding a total of nine investigators assigned to police cases, the Office continued to run a backlog of cases for this quarter. While the Office completed and forwarded to the auditor for review a total of 12 investigations the office received an additional 42 complaints during the eighth quarter, adding an additional 31 cases to the backlog of 463 cases currently pending.4

An additional two investigators have been assigned to OMI this quarter, and plans are underway to add two more. Once these additional (temporary) investigators are assigned and trained, OMI will have seven full-time investigators assigned to police cases, and two part-time investigators assigned to police cases. A walk-through of OMI offices, conducted this quarter, indicates that other resources for OMI investigators, such as computers, desks, interview rooms, etc. appear adequate for the new staffing levels.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

4 Data in the OMI database reflect more cases resolved by OMI than have been provided to the auditor for review. An assessment is underway to determine the reason for this contradiction.
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Public Management Resources San Antonio, Texas

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2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL

Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology

The auditor reviewed the OMI Manual of Policy & Procedure, which states at Section 7-4 that “all findings by OMI shall be based upon the ‘preponderance of the evidence standard.’” The revised (5/98) document defines this standard for the reader, using applicable civil law definitions. The auditor reviewed all 11 OMI investigations completed this quarter, and found each to conform to the preponderance of the evidence standard, as articulated in the OMI manual.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.56 Compliance with Task 66: Statements

No Preference for Officers’

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL
Paragraph 66 stipulates that “there shall be no automatic preference of an officer’s statement over a complainant’s statement,” and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

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Methodology

The auditor reviewed the OMI Manual of Policy and Procedure for references to preferences to officer’s statements, and found a reference in the revised (5/98) Section 6-9. There were also references to credibility determinations (Section 69) which conform to the requirements of paragraph 66.

In addition, the auditor reviewed the 12 investigations of citizens’ complaints completed during the eighth quarter for conformance to this requirement. In each of these 12, credibility assessments were documented in the final report.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.57 Compliance with Task 67: Authority

OMI Retains Final Investigative

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between May 16 and August 15, 1999, searching for a case which resulted in a sustained finding, with evidence of a “reversed” OMI finding by a supervisor or senior supervisor. No such evidence was found. The city is deemed in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Public Management Resources San Antonio, Texas

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2.58 Compliance with Task 68: Resolved”

Change “Not Sustained” to “Not

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 68 requires the city to change the OMI disposition category of “Not Sustained”

Methodology

The auditor reviewed the OMI manual, which stipulates at 7-1B, that cases which generate “evidence that is insufficient to prove or disprove that accountability standards have been violated” will be classified as “Not Resolved.” Further, the auditor assessed all completed OMI investigations for the period May 16, 1999 through August 6, 1999, to determine if the disposition of “Not Resolved” was appropriately used.

During the seventh quarter, the auditor noted a discrepancy in case resolution between the “not resolved” classification and “unfounded” classification. As a result of this discrepancy, the auditor reviewed all final reports prepared by OMI during the eighth quarter, particularly with respect to the disposition classification of “not resolved.” One of the twelve cases completed this quarter was classified as “not resolved,” and, in the judgment of the auditor, this classification was justified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69:

OMI to Issue Quarterly Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 63

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December 4, 1997. The city is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the city is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Assurance Checks

Auditor to Perform Quarterly

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

• OMI final reports;

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Public Management Resources San Antonio, Texas

Page 64
• Substance and timeliness of 50 percent of all OMI investigations completed; • Statistical information on the number and types of complaints filed with OMI; • Statistical information on discipline imposed on sustained complaints; • Assessments of officer use of force, searches and seizures, and traffic stops.
Methodology
Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.
Number and Type of Complaints Filed
Complaints filed with OMI over the last seven quarters fall into three categories:
• Type 1 (allegations of rules violations); • Type 2 (allegations relating to attitude and conduct); and • Type 3 (allegations of abuse).
Type 1 allegations include failure to perform, neglect of “ministerial” duties, inaccurate reporting, violation of departmental orders such as those regulating secondary employment, minor events of conduct unbecoming an officer, etc. Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self-assigned investigations, and failure to perform or neglect of duty “on scene.” Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse.5 Table One, below, depicts the number and type of citizens’ complaints received by OMI during the seven quarters covered by the consent decree.
The data reflected in Table One are presented in Figure One, below, which depicts the percent of complaints received, by type of complaint, by quarter. As Figure One indicates, the relative percentage of the more serious complaints (Type 2 and Type 3 complaints) have dropped substantially since the beginning of the decree.
5 Exact classifications are still under discussion with the City and the Department of Justice. Auditor’s Eighth Quarterly Report September, 1999 Public Management Resources San Antonio, Texas

Page 65

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 8th Quarters (1997-1999)

Quarter 1 2 3 4 5 6 7 8
Total

Type 1 18 22 33 42 33 8 25 14 192

Type 2 9 15 32 19 18 12 1 16
121

Type 3 26 39 59 84 58 24 15 13 321

Total 53 51 124 145 109 44 41 43 610

Source: Electronic database provided by City of Pittsburgh, CIS.
Average Complaint Severity

Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated for the seven quarters covered by this report. The average (mean) severity of complaints filed with the office are represented in Figure Two, below.

Figure One: Percentage of Type 1,2 & 3 Complaints Received by Quarter (1997-1999)

100%

90%

80% 70%

60% 50% 40%

Type 3 Type 2 Type 1

30%

20%

10%

0%

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Quarter

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

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Public Management Resources San Antonio, Texas

Page 66
Average (mean) severity was calculated by computing an arithmetic average for each quarter covered by this report, using the “Type 1,” “Type 2” and “Type 3” designations. As Figure Two indicates, after holding relatively steady through quarters 1-6, the average complaint severity dropped substantially in quarter seven and eight.

Figure Two: Mean Complaint Severity by Quarter (1997-1999)

2.5 2
1.5

1

0.5

0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Quarter

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rates of Sustained Citizens’ Complaints
Complaints investigated by OMI are classified, upon completion, as one of four disposition categories:
• Exonerated (evidence indicated that the event occurred, but that the officer was acting in conformance with the law or PBP policy);
• Not Resolved (not enough information was available to prove or disprove the allegation);
• Sustained (evidence indicated that the allegations were true; or • Unfounded (evidence indicated that the allegations did not occur).
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Public Management Resources San Antonio, Texas

Page 67
Figure Three, below, depicts the rates at which OMI resolved the complaints received during the first eight quarters covered by this report.

Figure Three: Resolved Complaints by Disposition, by Quarter (1997-1999)
1.2

1

0.8 Sustained Exonerated
0.6 Unfounded Not Resolved
0.4

0.2

0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Quarter

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rate of Sustained Complaints
The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Four, below. The data depicted in Figure Four were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any other finding except “sustained.”
Figure Four reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation. As with other data reported in this section, Figure Four deals only with investigations of complaints filed by citizens. Complaints investigated by OMI as a result of an internal infraction referred to OMI by the bureau of Police are not included in these analyses.

Auditor’s Eighth Quarterly Report September, 1999
Public Management Resources San Antonio, Texas

Figure Four: Rate of Sustained Citizens’ Complaints By Quarter (1997-1999)

Page 68

0.2

0.18

0.16

0.14

0.12

0.1

0.08

0.06

0.04

0.02

0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

Complaints Received and Complaints Cleared
The number of citizens complaints received by OMI during the last seven quarters, compared to the number of complaints resolved by the Office is reported in Figure Five, below. As with all other data reported in this section, these data are also calculated using data provided by the city and “cleaned” by the auditor’s staff.
Figure Five reports two categories of data for the seven quarters covered by this report. The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously). The second category reported identifies the number of complaints resolved by OMI investigation.
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Public Management Resources San Antonio, Texas

Page 69

Figure Five: Complaints Received v. Complaints Resolved, By Quarter (1997-1999)6

160

140

120

100

80

60

40

20

0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Cleared Received

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of OMI Investigations
Figure Six depicts the average length of time (in number of days) required to complete an OMI investigations during the last seven quarters covered by this report. The data depicted in Figure Six were calculated by determining the number of days from complaint receipt to compliant resolution, as reported in the OMI database, for each investigation completed during each of the seven quarters covered by this report. An arithmetic average (mean) was then calculated for each quarter.
Data for Figure Six reflect an intensive training schedule for OMI personnel, beginning in the third quarter. In addition, two cases (one each in the first and second quarters) had missing data in the received/resolved columns, which skewed reported data for those quarters. These data also reflect the fact that OMI is beginning to “clear up” long-term pending cases.

6 Cases cleared as reported by the OMI database differ from cases forwarded by OMI to the auditor for review. An assessment is currently underway to determine the source of this error.
Auditor’s Eighth Quarterly Report September, 1999
Public Management Resources San Antonio, Texas

Figure Six: Average Length of Time Required to Complete OMI Investigations, by Quarter (1997-1999)
250

Page 70 233

200

150

149

100

105

47

54

50 30

29

38

0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of Pending Investigations
The length of time OMI investigations are pending is reported in Figure Seven, below. The number of citizens’ complaints currently pending for each period of time (0-3 months, through more than 18 months) are depicted.
The data were collected by subtracting the date the complaint was received by OMI from the effective date of the end of the eighth quarter (August 15, 1999). For the purposes of this report, a “month” was operationalized as 30 calendar days. Using 30 as the divisor, the total number of “pending” months was calculated for each complaint. For example, Figure Seven indicates that OMI has 88 citizens’ complaints which are classified as “open” nine-twelve months after they were filed.

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Figure Seven: Length of Pending Investigations of Citizens’ Complaints (1997-1999)

120 100
80 60 40 20
0

42 0-3.0

110

88 69

86 63

6

3.1-6.0

6.1-9.0

9.1-12.0 12.1-15.0 15.1-18.0 18.1-21.0 Months

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

2.62 Compliance with Task 72:

Auditor to Recommend Reopening of

Incomplete OMI Investigations

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete. Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed all twelve final reports of OMI investigations of citizens’ complaints completed between May16 and August 15, 1999. In addition, the auditor conducted a comprehensive review of supporting documentation for five cases completed during this time frame. All completed investigations reviewed for the eighth quarter were conducted in a manner that meets minimum standards for professionally conducted internal investigations. No cases were remanded for reopening this quarter. The city currently has a backlog of several cases which have been remanded for reinvestigation and have not been returned to the auditor. To remain in compliance with this task, these remanded cases should be completed and resubmitted expeditiously.

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2.63 Compliance with Task 73: City to Prepare Progress Reports

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter. The first report was issued July 11, 1997; the second was issued January 16, 1998. The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The city remains in compliance with the requirements of task 73

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.64 Compliance with Task 74: City to Maintain Records Necessary

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 requires the city to maintain all records necessary to document their compliance with all terms of this decree. Further, it requires the city to maintain records required by or developed under this decree.

Methodology

The auditor asked for all pertinent copies of records required to document compliance with the decree, and received same in a timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.65 Compliance with Task 75: Unrestricted Access for Auditor

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 73

Paragraph 75 requires the city to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto. Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

During the course of development of the first Auditor’s Quarterly Report, the auditor made dozens of specific requests of the city, OMI and the Pittsburgh Bureau of Police. All requests were responded to in a professional and timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76: Unrestricted Access for Justice

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 76 requires the city to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree. Further it requires access to staff and facilities upon appropriate notice.

Methodology

During the course of the implementation of this decree, the Department of Justice has made numerous requests for information, data and access. These requests have always been honored.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.67 Compliance with Task 77: Copies of Consent Decree to All Officers

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 77 of the decree requires the city to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations. All such individuals are further required to sign a statement indicating that they have received, read and understand the statement. The city is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the city acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video7. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the city’s approach to compliance. Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.68 Compliance with Task 78: 90 Day Timeline for Conformance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

7 Officers on extended leave and who are otherwise excused for duty for extended periods of time have not viewed the video, nor have they signed the statement of understanding.
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Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree. Methodology Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the PARS. The city is currently in primary compliance with 100 percent of the 748 provisions to which the city should have complied by now. The city is in secondary compliance with 71 of the 74 provisions due as of August 15, 1998. It is also in operational compliance with 70 of the 74 tasks, due as of August 15, 1998.9
8 Two of the 76 tasks in the decree accrue to the auditor. 9 The auditor was unable to audit three secondary and operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., no promotions during the quarter or no completed disciplinary action reports during the quarter, etc.
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3.0 Summary
The city, the bureau and the Office of Municipal Investigations have improved compliance with the elements of the consent decree during the last quarter. They have continued to take a professional approach towards the decree, insisting on complying with both the letter and the spirit of the decree, and moving with deliberate speed to ensure compliance. All of the auditor’s requests for information have been responded to with rapid compliance, and the routine response of the city to the auditor’s suggestions has been to implement them enthusiastically.
The city and the Pittsburgh Bureau of Police are nearing the end of the first phase of one of the most complex organizational change projects in the history of American policing. The consent decree has outlined changes to nearly every administrative component of the bureau. As the first phase ends, the second phase calls for Bureau personnel to begin to institutionalize the changes forged under the first phase. The city and the bureau continue to pursue both the letter and the spirit of the decree.
The city has recorded a primary compliance rate of 100 percent, a secondary compliance rate of 96 percent, and an operational compliance rate of 94 percent.10 The city has come into compliance in all but three areas; however, these are among the most difficult areas to control, as quality assurance in the internal investigations process is among the more difficult tasks confronting American law enforcement. It appears that citizens’ complaints have leveled off, with approximately 15 complaints being generated each month. Once the case backlog is cleared, current staffing levels should be capable of maintaining pace with this rate.
On the police side, as well, the most difficult problem remains: moving responsibility for review and control of unwarranted police behavior, and recognition and award of exemplary police behavior to the sergeant’s and lieutenant’s level. Increasing supervisory presence and improving supervisory control and leadership are critical factors for the bureau, and are essential to maintain compliance.
Overall compliance status is depicted in the Table Two, below.
10 The auditor was unable to audit three operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., quarterly review of Bureau actions using the PARS etc. Thus, the auditor found the City in operational compliance with 55 of the 70 tasks which could be audited this quarter.
Auditor’s Eighth Quarterly Report September, 1999
Public Management Resources San Antonio, Texas

Task No.
12 12a 12b 12c 12d 13 14 15 16 17 18 18b 19a 19b 20a 20b 21a 21b 21c 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38

Table Two: Overall Compliance Status, Tasks 12-38

Primary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Secondary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Operational Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Page 77

Auditor’s Eighth Quarterly Report September, 1999
Public Management Resources San Antonio, Texas

Task No.
39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56
57 58 59 60 61 62 63 64 65 66 67 68 69 70 7311 74 75 76 77 78

Table Two: Overall Compliance Status, Tasks 39-78

Primary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Secondary Compliance
Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Yes Yes Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO

Operational Compliance
Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
NO Yes Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO

Page 78

11 Tasks 71 and 72 accrue to the auditor. Auditor’s Eighth Quarterly Report September, 1999 Public Management Resources San Antonio, Texas

Page 79

Table Three: Overall Compliance Status, by Percent

Number in Compliance Percent in Compliance

Primary Compliance
74
100 %

Secondary Compliance
70
96 %

Operational Compliance
70
94 %

The city is well within reach of 100 percent operational compliance within the next quarter or two. Maintenance and refinement of compliance process will then become the focus of the quarterly audits.

Auditor’s Eighth Quarterly Report September, 1999
Public Management Resources San Antonio, Texas

 
 Auditor’s Ninth Quarterly Report Quarter Ending November 16, 1999

Page 1

1 Introduction
This document represents the ninth of an anticipated 20 “Auditor’s Quarterly Reports” (AQR) assessing the levels of compliance of the City of Pittsburgh (city) with the requirements of the consent decree (decree) entered into between the city and the United States Department of Justice (justice) on April 16, 1997. The document consists of three sections, identified below:
• Introduction; • Compliance Assessment; and • Summary.
The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of “compliance” are described in Section One, “Introduction.” Section Two, “Compliance Assessment,” includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, “Summary” provides an overall assessment of the city’s performance for this quarter.
1.1 Overall Status Assessment
1.1.2 Dates of Project Deliverables
Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the city; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.
1.2 Format for Compliance Assessment
The AQR is organized to be congruent with the structure of the consent decree. It reports on the city’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated “early warning system” now known to the Bureau of Police as the Performance Assessment and Review System (PARS). The following components of the decree are treated similarly. For each section of the decree, a graphic representation of the city’s compliance status is presented. The
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graphic is designed as follows. The “label” depicts the start date for the city’s

compliance actions (almost always April 16, 1997). The blue bar, below the

label,

depicts the time allotted, by the decree, for the city to comply

with the decree. The light blue, yellow, orange or red bars, below the blue bars

indicate the time expired since the start date. The vertically patterned light blue

bars indicate expired time equal to or less than that allowed by the decree. The

checkered Yellow bars

indicate expired time that is more than that

allowed by the decree, but which, in the judgment of the auditor, does not

seriously threaten the city’s successful compliance with the decree. The

horizontally patterned Orange bars

indicate expired time that is

more than that allowed by the decree, and which, in the judgment of the auditor,

may seriously threaten the city’s successful compliance with the decree. Red

bars

indicate expired time which is more than that allowed by the decree,

and which, in the judgment of the auditor does seriously threaten the city’s

successful compliance with the decree.

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Compliance is classified as primary, secondary and “operational,” with the definitions specified in Section 1.4, below.
1.3 Compliance Assessment Processes
1.3.1 Structure of the Task Assessment Process
Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:
• Selection of a random sample, or • Selecting all available records of that type.
Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.
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The performance of the PBP and the City of Pittsburgh (city) on each task outlined in the consent decree was assessed by the auditor during the quarter ending November 15, 1999. In order to allow time for completion of the report, the auditor completed assessment activities on November 12, 1999.
All determinations of status for the city and the PBP are data-based, and were formed by review of the following types of documents:
• Official PBP documents prepared in the normal course of business; • Official Office of Municipal Investigations (OMI) documents prepared during
the normal course of business; and/or • Electronic documents prepared by the city or components of city government
during the normal course of business.
Where practicable, documentation forming the database for this audit was selected by the auditor and the auditor’s staff directly from PBP, OMI or city files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints, were assessed by reviewing OMI files, OMI electronic files, and zone performance files.
1.4 Operational Definition of Compliance
For the purposes of this audit, “compliance” consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to “comply” as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the bureau.
During this quarter of the decree, the city, the bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.
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2 Assessment of Compliance
2.1 Methodology
The auditor assessed the city’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and “operational” (see section 1.4, above).

The following sections of the ninth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the city has complied with the 74 tasks to which it agreed on April 16, 1997.
2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System (PARS)

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the decree requires the city and the PBP to automate the database tracking system currently in use to assess police officer performance, and to add functionality to the system, transitioning it to an “early warning system” which will assist the bureau in identifying and managing officer performance which may need improvement. The bureau has expanded the EWS concept into a Performance Assessment and Review System (PARS).
In order to accomplish this task, the city has formed a “protocol committee,” and charged this committee with responsibility for defining policies, procedures, manual and automated systems, and oversight practices for each of required elements of the PARS. The decree requires development of protocols in the following areas:
• Citizens’ complaints; • Officer-involved shootings; • Criminal investigations of officers; • Civil or administrative claims arising from PBP operations; • Civil claims against the PBP; • Law suits against the PBP; • Warrantless searches by officers;
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• Use of force by officers; • Traffic stops by officers; and • Discretionary charges filed by officers.
The city has completed work on the various protocols designed to serve as policy guidance for the PARS, and is currently revising these protocols based on the results of the first quarterly analysis of PARS data, which took place in August, 1999.
Further, the city has implemented a supplementary supervisory device, the Supervisor’s Activity Report (and supporting policy and training), which requires supervisors to provide an on-scene presence at selected patrol activities conducted by personnel under their command. The process requires supervisors to exhibit a field presence, assessing the quality of work of patrol officers regarding performance, adherence to policy and procedure, use of equipment, safety practices, communication skills, or exhibition of prohibited bias. Further, the form requires the supervisor to note recommended actions to remedy any deficiencies noted. The auditor has reviewed each of the city’s protocols, and has assessed their viability in sections 2.2-2.6, following.
Recent developments include implementation of a “production version” Early Warning System, now known as PARS, consisting of an Officer Management System component which allows PBP command and supervisory personnel to monitor the activity levels of individual personnel, and PARS, which allows unitwide analysis. The production version of the PARS/EWS has been inplace—and under near-constant review and revision—since October, 1998.
Methodology
During the site visit for the ninth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted in the city’s CIS conference room, using the “live” database from the operational PARS. As part of this review, data were assessed for all 1,040 police officers, assessing particularly the officers whose activity levels were assessed to be one or more standard deviations above the mean for their workgroups in the areas of citizen complaints, search and seizure activity, and use of force.
The city currently has had an operational version of the PARS on-line and operational. Entry of pre-consent decree information (from September, 1995 forward) has been completed and is accessible through the PARS and OMS database. The city has resolved earlier bugs in the OMS, and as of the last audit, both PARS and the OMS are fully functional, and being used by supervisory and command staff personnel to manage the bureau.
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During the site visit for the ninth quarterly report, the auditor reviewed the accuracy and accessibility of the PARS by comparing data in PARS with available “hard copy” data regarding police officer activity. A total of 48 separate tests were conducted. The PARS performed accurately in each test. Minor reporting issues were noted, such as problems with statistical comparisons of some officers assigned to two or more units during the quarter; however, these minor difficulties did not seriously affect the overall usefulness of the system.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the decree requires the city to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.
Methodology
During the site visit for the ninth quarterly audit, the auditor reviewed the city’s automated information system with which it has replaced the previous version of the EWS. The new system, labeled “PARS” for Performance Assessment and Review System, is now completely operational, and was used by the PBP command staff to conduct its first quarterly analysis during the month of August, 1999. The auditor’s review for the ninth quarter was conducted three days prior to the command staff review, in the city’s CIS conference room, using the production database from the operational PARS.
The bureau and the city continue to inspect and audit the records in the PARS, and quality control is an on-going process. During the week of the auditor’s sitevisit, the command staff conducted its second quarterly analysis of PARS data. During that analysis, the command staff reviewed the performance parameters of 21 officers who, based on their performance records during the eighth quarter, required additional supervision, training or counseling. As would be expected, some of these 21 officers showed marked improvements in their performance.
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Others indicated a continuing need for supervisory monitoring. The PARS reports on each of the parameters required by the consent decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-b of the decree requires the city to build into the PARS the ability to retrieve information from the PARS by officer, squad, zone, unit, regarding the execution of “discretionary arrests,”1 traffic stops, searches and seizures, and use of force.
Methodology
During the site visit for the ninth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted in the city’s CIS conference room, using a “live” database from the operational PARS.
A review of the capabilities of the PARS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. A total of 48 separate tests were performed, using the PARS and its supporting OMS. The OMS reported accurately in each of the 48 separate tests, and the PARS accurately reflected the data contained in the OMS. The problem with duplicate reporting, evident in the earlier versions of OMS, is not carried forward into the reporting formats of the PARS. The command staff notification system (red and yellow “bars” for officers registering more than one standard deviation above the mean) reported accurately during the testing. Modifications to the PARS have been made allowing tabular data to be reported along with graphic information in the PARS.

1 Defined by the decree as resisting arrest, disorderly, public intoxication, and interfering with the administration of justice.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-c of the decree requires the city to archive the records in the PARS for three years after the involved officers’ separation from service, and requires that all records be archived indefinitely. In addition, it requires the city to enter all relevant data for three years prior to April 16, 1997.
Methodology
During the site visit for the ninth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted in the city’s CIS police systems room, using a “live database” from the operational PARS.
Data retention protocols for the PARS have been established which will meet the requirements of task 12-c. Data entry for the PARS for information related to bureau activities prior to April 16, 1997 has been completed for all data that could be found which were accurate. In some cases, this does not include all data between April 15, 1995 and April 16, 1999; however, the data that do exist in the PARS are the best available accurate data, based on information obtained from the city, the bureau and the Computer Information Services department of the city. After implementation of the PARS and Officer Management System during the fifth quarter, some data which had been entered into the system were found to be inaccurate. The city has implemented steps to clean that data, and inaccurate data have been eliminated from the system. This major process of cleaning existing data was finally completed, as of the auditor’s last site visit, in August, 1999. Based on an independent review of 48 officers’ records, and matching those records with paper files at the zones and OMI records, it appears that data in the PARS are reasonably accurate and reliable. All 48 officers’ records, as reflected in the PARS, matched records included in the zone performance files and OMI records.

Auditor’s Ninth Quarterly Report January, 2000
Public Management Resources San Antonio, Texas

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

Page 9

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-d requires the city to develop a protocol for use of the PARS that would:
• Establish trigger thresholds for review of officer records by senior supervisors; • Establish requirements for frequency of review of officer records by senior
supervisors; • Establish the types of corrective actions to be taken by senior supervisors; • Establish confidentiality and security provisions for the PARS; • Establish requirements for quality assurance checks of data input; and • Have the protocol submitted for review 30 days before implementation.
The city has developed protocols for use of the PARS, including those controlling:
• Weapons discharges by a Bureau member; • Citizens complaints; • Civil claims arising from Bureau operations; • Initiation of criminal investigations against Bureau members; • Lawsuits arising from Bureau operations; • Reporting subject resistance incidents; • Trend analysis; • Processing allegations of untruthfulness, racial bias, domestic violence, and
physical force; • Managing search and seizure activity; and • Reporting and review of traffic stop and arrest data.
These protocols have been reviewed by the auditor, and found to be reasonable and effective responses to the requirements of the consent decree, and in fact, in many cases, to move beyond the requirements of the decree. The protocols also
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Page 10

address the supervisory and managerial responses required by those reviewing officers’ actions. These protocols have been revised by the city, based on training provided by the auditor in August, 1999.

Methodology

During the site visit for the ninth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted using a live database from the operational PARS.

Now that the PARS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the PARS by the consent decree. The operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer performance, in compliance with the requirements of the decree. The first use of the PARS for quarterly analyses of PBP operational performance was conducted August 6, 1999. The system provided all necessary information, as required by this section of the decree, and given the implementation of the new protocols, the city is deemed to be in operational compliance with this section of the decree. A second quarterly audit was performed by the command staff during the week of this quarter’s site visit (November 8-12). No operational problems with PARS or OMS were noted.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 13 requires the city to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the city to submit the policy to justice for approval prior to implementation.

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Methodology
The auditor has reviewed the PBP’s use of force policy, which was completed prior to the deadline, and has assessed the policy for conformance to national standards and applicable law. The newly drafted policy, effective August 15, 1997 is well written, and is designed to allow the bureau to control effectively the use of force by the bureau’s officers.
Promulgation of the policy and the necessary training to implement it have been completed. Reporting and supervisory review processes have been implemented, and the bureau’s Subject Resistance Reports have been developed, disseminated, and implemented, and are currently being completed by PBP personnel.
Further, the auditor conducted a thorough review of a random sample of 51 of the 254 Subject Resistance Reports generated by PBP personnel during the quarter. The review conducted by the auditor indicates an acceptable level of command review, suggested by the fact that numerous reports were noted in which requests for additional information or re-writes of SRRs were made by supervisory, command or executive staff. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.
Other factors also indicate that the monitoring of use of force at the bureau is taken seriously.
• First, the files reviewed continue to indicate an apparent under-use of force on the part of the officers of the PBP, e.g., multiple instances were observed in which the articulated facts supported higher levels of police force than was used.
• Second, evidence exists, in the form of follow-up memoranda by command staff personnel to indicate that the PBP command staff are carefully scrutinizing field reports (SRRs and Field Contact Reports) for sufficiency. Further, incomplete reports, or reports that indicate officers took actions outside PBP policy, are returned to the reporting officers’ chains of command, along with requirements for appropriate re-training or counseling; and
• Third, in instances in which supervisory or command personnel approved problematic reports, they are being counseled, retrained or disciplined.
During the eighth quarter, the auditor noted that the “active supervisory presence” noted in previous audits of SRR reporting—comments from supervisors noting that they had been on the scene of the event documented in
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Page 12

the report—was not present in the reports reviewed by the auditor for this quarter.” This process was improved somewhat during the ninth quarter, with a renewed “presence” obvious from comments in the SRRs from supervisors who noted they were on-scene during the events reported on.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 14 requires the city to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.
Methodology
The auditor has reviewed PBP policy 45-1, “Strip and Body Cavity Searches.” The policy conforms to all requirements of the decree, and was promulgated and effective November 10, 1997. A review of the training records of the bureau indicates that, as of May, 1999, the department had trained all active duty officers in its strip search policy.2 In addition, the auditor has reviewed a randomly selected sample of completed “Field Contact/Search/Seizure Reports” (FCSSRs) forms generated between August 16 and November 15, 1999.
In addition, the auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and found one that reported a strip search. While the report, completed by detectives, labeled the search a “strip search,” it was actually a search incidental to arrest that involved the officer reaching into an arrestee’s inner clothing to retrieve what he reasonably believed to be narcotics.

2 The only officers not yet trained are those on extended medical, or similar, leave, and not performing law enforcement functions.
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The search was supervised and authorized by a sergeant, and did not involve removing any clothing from the suspect.

As noted in earlier quarterly audit reports, however, the department has established an effective review policy, and has, in the past through its inspections and audit process, noted the conduct of strip searches which fell outside of policy. The officers conducting these inappropriate strip searches were retrained, in addition to receiving written memoranda regarding their actions. The bureau is judged to remain in operational compliance on this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 15 requires the city to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
The city has conformed to paragraph 15 through development of several related policies, each of which requires a written report any time a police officer performs any of the above-listed actions. In addition, these protocols are supported by specific policies (12-6, Use of Force, 45-2 Warrantless Searches and Seizures, and 45-1 Strip and Body Cavity Searches). Each of these policies stipulates specific reporting procedures that are in conformance with the requirements of the decree, c.f., policies 12-6 @ 6.6, 45-1 @ 5.1, and 45-2 @ 3.1. The Department of Justice has approved these protocols viz. a viz. the decree (Use of Force on August 4, 1997 and Search and Seizure on November 10, 1997) based on the city’s submission on July 16, 1997. The Search and Seizure protocol approval was delayed by discussion between the city and justice regarding specific provisions.

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Methodology
The auditor reviewed training records for search and seizure and use of force topics. In addition, a randomly selected sample of Subject Resistance Reports and Field Contact/Search/Seizure Reports was reviewed to assess the level of accuracy of reporting and supervisory review for these reports. A sample of SRRs written on 23 incidents (51 reports) was selected for review, constituting a 20 percent sample of all SRRs for the quarter. In addition a sample was selected of 165 of the 971 incidents warranting completion of search and seizure reports prepared by officers of the bureau this quarter.
Training regarding Use of Force reporting was completed during the fourth quarter, and the reporting forms and guidelines have been implemented. Subject Resistance Reports are being processed by the department, and the day-to-day operation of controlling use of force by PBP officers appears to moving forward.
During the fourth quarter, training for “all officers” in search and seizure policies was substantially completed. As of May 15, 1999, all of the bureau’s 1,040 active-duty officers had been trained in search and seizure policies, except those on extended medical, or similar, leave. All had received a passing score on the content examination given by the training academy.
The average review time for all SRRs and FCSSRs continues to be well within the required seven day period (at around three days), and evidence exists to indicate that the supervisory review is an active review, often requiring additional information, re-writing of reports, or other actions on the part of the originating officer.
In preparation for the ninth quarterly audit, the auditor’s staff reviewed 51 of the 254 SRRs completed by the bureau this quarter, a 20 percent sample. None of the 51 SRRs reviewed for this quarter exhibited problems with reporting or review. The “error rate” of zero falls within the required 95 percent compliance rate for critical areas of the decree. The auditor’s staff also selected a 24% sample of 165 reports from the 971 incidents resulting in completion of FCSSRs during the ninth quarter. These reviews indicate that the PBP is requiring written reports of specific police actions, as required by the decree.
Of more import, perhaps, is that the PBP has established a formalized, universal command review of its FCSRRs and SRRs. Personnel at the command staff level now review for sufficiency every SRR and FCSSR report filed by PBP personnel, and return for revision those which exhibit problems. Ample evidence was seen in the sample reviewed by the auditor that this command level review is effective. Fully 100 percent of all reviewed SRRs were completed acceptably, and 100 percent of all reviewed FCSSRs were completed accurately. More
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importantly, however, many officers who prepare, and supervisors and commanders who approve, problematic reports are scheduled for retraining, counseling or discipline. See section 2.8 for an assessment of the effectiveness of these review processes.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.6 Assessing Compliance with Task 16: Reporting Traffic Stops

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 16 requires the city to establish reporting requirements each time a police officer makes a traffic stop. The city has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The bureau has begun collecting traffic stop data, using the form designed by the city. These data are available at the Zones, and have been entered into the PARS. The eighth quarter was the first quarter in which detailed assessment of traffic stop information was possible, as the tabular data from the PARS regarding traffic stops was available through the PARS as of this audit cycle.
Methodology
During the auditor’s site visit for the ninth quarter, the auditor conducted a quarterly analysis of PARS data, including traffic stop data, reported both in graphic and tabular form. The auditor identified two officers whose traffic stop demographics were substantially higher than the group norm. Both of these officers had small numbers of traffic stops, allowing for the possibility of skewed data.
All but one of the zone commanders reported checking traffic stop data as part of their routine quarterly analysis, and both of the officers identified by the auditor were also noted by zone commanders. The process of checking traffic stop data requires a comparison of the non-minority/minority ratio of drivers stopped for each officer checked, compared to similar statistics for the officer’s work group.
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Officers with substantially different “stop rates” than their peer work group are easily identified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY
OPERATIONAL
Paragraph 17 requires the city to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The city has developed protocols requiring entry of data as required by the consent decree.

Methodology

The auditor has reviewed these protocols and found them to be acceptable. During his ninth quarterly site visit, the auditor tested data entry protocols by performing 48 individual tests of the system. The PARs and OMS reported accurately in each of these 48 tests.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8 Assessing Compliance with Task 18: Audits of Use of Force

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7 Q8

PRIMARY SECONDARY
OPERATIONAL
Paragraph 18 requires the city to cause supervisors and senior supervisors to conduct “regular audits” of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.
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Methodology
The audit team conducted a random selection of 23 incidents resulting in the completion of 51 “Subject Resistance Reports” (a 20 percent sample of reports for this quarter). The policy requires PBP officers to complete a SRR any time they use force to subdue a subject. Each of the reports selected was reviewed to ensure that the:
• Form was properly executed; • Form was reviewed by supervisors and senior supervisors within one week; • Supervisory review identifies problems with the use of force, where
appropriate; and • The review process is being implemented as required by the decree.
The results of the review indicate that the city is in primary compliance with the requirement of the decree: the policy regarding use of force reporting has been written and disseminated; the forms are being completed and reviewed; the forms are being forwarded to the training academy and to the administration division; and the forms are being filed as would be expected.
The city is also in secondary and operational compliance with this task. Of the 51 SRRs reviewed, based on 23 incidents, all were appropriately reviewed. An error rate of zero is laudatory. More promising, however, is the PBP’s internal command review, established during the eighth quarter, for SRRs. The assistant chief for administration’s staff reviews every SSR completed by PBP personnel, and returns those reports deemed problematic for revision. In addition, officers completing poor reports, or conducting searches or seizures outside PBP policy, are retrained or counseled. Commanders and supervisors who approve problematic reports are counseled, retrained or disciplined by the bureau.
The city is currently assessing Section 18-a of the consent decree, which requires an OMI investigation of use-of-force incidents which result in “serious injury,” which is defined (at 11-f of the decree) as “any injury that results in death or that the city has reason to know requires or results in professional medical care or treatment” (decree, p. 5). Progress has been made in managing the investigative process for use-of-force incidents which result in “serious injury”. Of the 23 incidents reviewed this quarter, only two of the SRR reports reviewed by the auditor indicated that the subject arrested received medical attention at hospital for injuries other than those attributable to OC spray. OMI selected each of the injury-related SRRs for review this quarter. Current OMI practice is to select for investigation all SRRs reporting professional treatment at hospitals.
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Currently, the city is working to resolve this implementation issue. The reinterpretation of “serious injury” has been agreed to by the parties. New policies are currently being developed. Until this area of the decree is better-defined by written policy, however, the current working definition established by the decree was used to assess compliance.

During the ninth quarter, OMI selected for review two incidents resulting in “serious injury” to suspects. Also during the eighth quarter, OMI forwarded one of these cases to the auditor for review. The OMI review was reasonably complete and thorough. The city is judged to be in operational compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. The bureau has completed its second quarterly analysis of use of force data, using the Officer Management System and PARS. The analysis identified use of force trends, as well as focusing on officers who recorded higher than average use-of-force rates. The command staff used the OMS and PARS to identify officers receiving complaints of excessive force, officers who had higherthan average levels of use-of-force rates in any one of the past four quarters, and to assess overall trends in use of force. These assessments became part of the quarterly “Computer Statistical Trend Analysis and Review” (COMSTAR) meeting minutes, along with recommendations for counseling, retraining or other solutions to issues raised with specific officers’ use of force practices. Protocols require follow-up at the next quarterly PCS meeting to evaluate the effectiveness of these solutions.
Methodology
Using the PARS/OMS system, the auditor identified, during the ninth quarterly audit, six officers whose use of force statistics (or associated activity levels)
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Page 19

were substantially higher than their group norms, and who, in the auditor’s opinion, required further scrutiny. All zone commanders checked subject resistance report data as part of their routine quarterly analysis, and all six of the officers identified by the auditor were also noted by zone commanders. The process of checking use of force data requires a complete PARS/OMS review, including actually pulling paper reports, for all officers who score one or more standard deviations above their work group norm in reporting use of force. Officers with substantially different “use of force rates” than their peer work group are easily identified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-a requires the city to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.
Methodology
During the ninth quarter, the bureau completed 971 reports of field contacts or search and seizure activity. A random sample of 165 FCSSRs completed during the ninth quarter was selected and analyzed to ensure the reports met the requirements of task 19-a.
Further, each of the 165 selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the 165 reports was assessed, and supporting documentation, where available, was reviewed.
Of the 165 reports reviewed, none were judged to be problematic. The error rate for FCSSRs for the ninth quarter is zero. The bureau remains in operational compliance with this task.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-b requires the city to analyze the search and seizure activity of its officers on a quarterly basis.
Methodology
The auditor has reviewed protocols and policies for search and seizure reporting. Training and implementation are completed. The PARS is now operational, and has been used for the past two quarters to review bureau performance in the area of field contacts and search and seizure. Command staff used search and seizure data, generated by PARS, to assess officers’ performance, identifying officers who were above average in this category. These officers were noted to be of two types: those who were active in search and seizure processes, but whose reports indicated no problematic behavior, and those whose activities indicated additional training, counseling, or supervision. The command staff selected the first group of officers for potential commendation, and the second group for potential remediation.
Overall, PARS data showed a substantial increase in the number of search and seizure reports completed by PBP operations personnel during the third quarter of the reporting year (the quarter most closely matching the date range of the ninth quarterly report of audits of performance).
Using the PARS/OMS, the auditor identified nine officers whose FCSSR data indicated a need for further scrutiny. All of the zone commanders reviewed each officer under their command whose FCSSR data exceeded work group norms by one or more standard deviation. This review included a thorough review of both electronic data, and a review of actual FCSSR completed by these officers. The command staff review noted each of the nine officers earlier identified, independently, by the auditor as indicating a need for further scrutiny.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-a requires the city to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial bias. During the ninth quarter, two allegations of racial bias on the part of bureau officers were completed by OMI. Both of these cases were completed during the week of the auditor’s site visit, thus the command review cannot be assessed until the next quarterly report. Additionally, the auditor has remanded one of these cases to OMI for additional investigative work (see section 2.62).

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias

Apr 97 Q1

Q2

Q3

Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

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Page 22
Paragraph 20-b requires supervisors to use the PARS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. The bureau, during the week of August 2, 1999, developed a specific protocol for quarterly analysis of potential indicators of racial bias. The protocol requires the command staff to review an officer’s complete PARS file if any of eight events involving the officer occur during any given quarter.
These events include:
• Notation on the Supervisor’s Daily Activity Report (SDAR) of any indication of racial or gender bias on the part of a given officer;
• A complaint by a supervisor of racial or gender bias against an officer; • A peer compliant of racial or gender bias; • An OMI complaint of racial or gender bias; • Filing of a lawsuit, in which the officer is named, contending racial or gender
bias; • Any indication, during a normal review of routine police reports (offense
reports, arrest reports, search and seizure reports, subject resistance reports, etc.) that an officer indicates potential racial or gender bias; • Comments made by an officer indicating racial or gender bias; or • A non-OMI complaint of gender or racial bias.
During the week of August 2, 1999, the command staff updated the protocol for quarterly analysis of potential racial bias. The protocol requires the command staff to review an officer’s complete PARS file (use of force, search and seizure, discretionary arrests and traffic stops) if any of eight specific events (noted above) involving the officer occur during any given quarter.
The quarterly analysis conducted by command staff during the week of November 12, 1999 identified three officers with at least one of these “trigger” events. In addition, all command personnel reviewed use of force and search and seizure data, reported in PARS, for all of their personnel indicating activity levels one or more standard deviations above their work group norms in these areas
In each of the three cases noted by the auditor as requiring additional scrutiny, the command staff reviewed the officers’ entire OMS/PARS files, and recommended appropriate remedial or supervisory measures. In addition, all zone and unit commanders conducted a thorough and perceptive review of officer activity in the areas of use of force, and search and seizure, pulling and reviewing paper file reports of use of force and search and seizure activity for officers indicated as one or more standard deviations above the mean in either category. The bureau is judged to be in operational compliance with the requirements of task 20-a.
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Page 23

Continuing steps are being taken to move responsibilities for this type of review to the supervisory ranks of sergeant and lieutenant, in addition to the responsibilities currently assigned to the command staff. Continued compliance is dependent upon satisfactory performance of sergeants and lieutenants as they review OMS/PARS data on the officers under their command, and respond reasonably to indications of potential problems and indicators of superior performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 21-a requires the city to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a three-year period, or five or more complaints in a two-year period.
Methodology
The auditor reviewed all discipline imposed by the bureau for the ninth quarter. Based on records obtained from the office of the chief of police, 20 individual disciplinary actions were taken by the bureau during the period of time covered by this report—up substantially from the eighth quarter. Of these 20, only three involved citizen complaints or interactions with citizens. Disciplinary actions for those three incidents were taken during this quarter. The auditor reviewed all disciplinary actions reported for the ninth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline. For example, departmental discipline included:
• An oral reprimand for failure to attend anger management classes (arising from a citizen’s complaint for conduct toward the public and conduct unbecoming a police officer);
• A three-day suspension for conducting a self-assigned investigation; and
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Page 24

• A one-day suspension, retraining in verbal judo, counseling and restriction from off-duty details for one year for inappropriate conduct toward the public.

In addition, the bureau has taken aggressive disciplinary action based on inappropriate officer behavior that it has discovered through its own supervisory processes. These actions included:

• Command review of officers’ driving records, leading to discovery of an officer operating a police vehicle with a suspended license;

• A five-day suspension for violation of the law enforcement code of ethics;

• A five-day suspension, pending termination, for neglect of duty and conduct unbecoming a police officer; and

• A five-day suspension, pending termination, for conduct unbecoming a police (supervisor).

Based on the protocols of progressive discipline, the bureau is responding within its anticipated range of responses in delivering discipline.

As noted in Section 2.35 below, the Bureau has been taking consistent action with officers who receive three “similar” citizen’s complaints in a three-year period, or five citizen’s complaints of any nature in a five-year period. The Bureau protocol calls for a “Preliminary Complaint Review” to be conducted with officers meeting either of these trigger thresholds. Each quarter, for the past nine quarters, the on-site audit has included an on-site assessment of performance files at the zones (randomly selected each quarter). Part of this on-site audit at the zones is to ensure that officers who have met the three-in-two or five-in-two thresholds are processed appropriately.

With the exception of the fifth quarterly report, the Bureau has been in compliance with the requirements of the decree in dealing appropriately with officers exhibiting citizen complaints in excess of the numbers stipulated. That compliance continues this quarter, as confirmed by a zone audit at zones two and four. A review by the auditor noted three officers in these two zones meeting the three-in-two or five-in-two threshold. Each of these officer’s performance files in the zones included a Preliminary Complaint Review form noting a supervisory review, with the officer, upon the officer reaching the complaint threshold. In addition, all but one of the zone commanders who had officers meeting the threein-two or five-in-two threshold noted these officers during the quarterly PARS/OMS analysis.

Status:

Primary:

In Compliance
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Public Management Resources San Antonio, Texas

Secondary: In Compliance Operational: In Compliance

Page 25

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 21-b requires the city to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on review of officer behavior.

Methodology

The auditor reviewed the bureau’s disciplinary processes for the period August 16 to November 15, 1999. The bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the bureau included retraining, counseling, one-on-one discussions with the legal advisor, and other appropriate forms of “retraining” and “counseling.” Two incidents of assigned discipline related to a requirement for counseling in response to a sustained citizen’s complaint. Discipline assigned this quarter as a result of citizen’s complaints includes a one-day suspension, a three-day suspension, retraining, psychological evaluation, counseling, and no off-duty details for a one-year period. Other discipline, indirectly related to a citizen’s complaint, included an oral reprimand for refusal to keep an appointment for anger management classes and for the use of profanity during an altercation with the complaining citizen.

As important as these disciplinary actions are in maintaining bureau professionalism, they are supported by an active retraining, counseling and documentation process for inappropriate or erroneous reporting of search and seizure and use of force data. During the ninth quarter, the department has counseled or retrained nine police officers, five sergeants and one commander regarding proper articulation and assessment of probable cause, making traffic stops in unmarked vehicles, or articulation of “reasonable suspicion.”

Status:

Primary:

In Compliance
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Page 26

Secondary: In Compliance Operational: In Compliance

2.11.2 Compliance with Task 21-c: Consider Prior Record in Determining Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 21-c requires the city to consider an officer’s prior record in determining discipline.

Methodology

According to records provided by the bureau and the Office of Municipal Investigations, 20 individual disciplinary actions were taken by the bureau this quarter. Each of the 20 disciplinary actions taken by the bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. None of the disciplinary actions taken this quarter indicated a modification to discipline based on past record. However, given the bureau’s previous performance in this area the bureau is deemed to continue, absent evidence to the contrary, in operational compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 22 requires the PBP to establish disciplinary action files, or “performance files” at the zone level.

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Page 27

Methodology

The audit of the “performance files” at the zone levels for this quarter consisted of assessing both electronic and paper files. Officers’ electronic files were assessed at two zones this quarter, zones two and four, to determine if any of the officers had, in the last quarter, received a sufficient number of citizens’ complaints, disciplinary actions, etc. to require new entries in their performance files. The electronic review, using the on-line Officer Management System indicated that zones two and four had three active officers each who would have been required to have updates made to their performance files this quarter. All of the officers’ files were found to have had the appropriate updates made in their performance files. In addition, 15 other officer’s files were reviewed for accuracy during this assessment.

As with the requirement to assess use of force issues, the bureau is in primary compliance with the stipulation of task 22: A series of chief’s orders has been promulgated (97-009 and 97-024), establishing a requirement for zone commanders to maintain “performance files” which conform to the requirements of the consent decree.

An assessment of the zones’ performance on this task indicates that the bureau is also in secondary compliance with this task: systems for developing, transferring, disseminating, filing and managing officers’ performance files have been developed. Based on the complete sample of records in zones two and four, the bureau is judged to be in operational compliance with the requirements of this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual Performance Evaluation

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 23 requires the city to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.
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Methodology

The bureau has developed a performance evaluation policy which meets the requirements of the decree, and which was approved and disseminated in April, 1998. Training regarding the performance evaluation system has been completed. The third wave of performance evaluations was completed in June, 1999, and the fourth wave is planned for December, 1999. During the course of its review of zones two and four, the audit team reviewed selected officers’ files for the presence of completed performance reviews. All of the officers’ files were found to be complete, with performance review documentation present in each.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 24 requires the city to use performance evaluations as a factor in promotional decisions.

Methodology

The bureau has developed a performance evaluation policy which meets the requirements of the decree, and the policy was implemented in June, 1998. The bureau promoted 17 individuals during the fifth quarter, and each of their performance evaluations was reviewed. No remarks, actions or characteristics were found in any of the 17 files that would have indicated inappropriate decisions were made in any of the promotions. No promotions were made during the ninth quarter. The bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 25 requires the city to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.

Methodology

The auditor’s team visited two randomly selected unit locations (zones two and four) to assess the degree of compliance with paragraph 25. During the site visits, the auditor conducted walk through inspections of zone facilities such as bulletin boards and office space.

Evidence exists to support the bureau’s operational compliance with paragraph 25. Past reviews of zone “performance files” indicate that the EAP is being used by departmental personnel and departmental managers. The counselors assigned to the EAP were interviewed during the first quarter by the auditor’s staff, and appear to be both experienced and knowledgeable concerning EAP practice and standards. It appears that EAP participation is non-retributive and meets established practice for such programs. Bureau discipline continues to use the EAP as part of its progressive discipline campaign. One officer was referred to anger management classes during the eighth quarter as a result of a confrontation with a citizen. The bureau has followed up on this referral to ensure the officer appears as directed, and has disciplined the officer once for failure to keep appointments.

Departmental policy requires the posting of EAP flyers at each of the zone stations. At the zones visited, the flyers were readily visible in the station.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.16 Compliance with Task 26: Notification of Adverse Involvement

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 26 requires the city to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the city to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

During the auditor’s review of departmental personnel files, the files were assessed for evidence of implementation of PBP Policy 44-5, effective 8-25-97, which requires notification of the chain of command any time:

• A warrant is to be served on a member of the service; • A protective order is to be served on a member of the service; • An on-scene arrest is made of a member of the service; • An officer is arrested by another agency other than the PBP; or • An officer of the service is the subject of a civil suit.

A review of Bureau records indicates that the bureau continues to monitor its officers’ activities for adverse involvement. One such notice was found, involving notice of involvement in a civil suit, which was delivered during the ninth quarter. The bureau continues to monitor these activities and provide appropriate discipline, where necessary. None of the DARs filed by the bureau this quarter involved adverse involvement reports.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY Secondary Operational

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Page 31

Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.

Methodology

A review of records available during the time frame of the ninth quarterly audit indicated three criminal proceedings in progress against PBP officers, none of which involve allegations of false arrest. One of the criminal charges does involve an allegation of an unconstitutional and unwarranted strip search. This case, along with two others, have been monitored by OMI since the seventh quarterly report. The office has completed investigations involving these three officers, and has forwarded these investigations to the bureau for review.

The bureau has established an agreement with the district attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearings lost as a result of illegal activity. Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum “detailing the results of the hearing.”

PBP policy calls for these memoranda to be forwarded to OMI for their review. Based on concerns expressed by the auditor that the DA’s office has forwarded no notifications of lost suppression hearings, etc., the chief of police has modified the reporting practice between the district attorney and the bureau. Court liaison personnel have begun to specifically inquire monthly, about lost suppression hearings, and allegations of false arrest or improper searches on the part of PBP officers. During the ninth quarter, three such inquiries were made of the DA’s staff. The auditor reviewed reports of these inquiries, which noted no lost suppression hearings due to poor probable cause, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.18 Compliance with Task 28: Settled Litigation

Sanctions for Officers Involved in

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY Operational
Secondary
Paragraph 28 requires the city to implement appropriate discipline “as the circumstances and OMI investigation warrant,” in all instances in which PBP officers are the subject of civil litigation.

Methodology

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation. No settled litigation was noted during the ninth quarter. During the sixth quarterly audit, the department received notification of settled litigation involving two Bureau officers. During the seventh quarter, this case was reviewed by command staff, and disciplinary action was taken in April, 1999. It is clear from the review that the department continues to be in compliance with this task. The only civil litigation action noted for the ninth quarter was a note to a bureau officer from the city regarding litigation that was decided in the city’s favor.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONA
L
Paragraph 29 requires the city to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.
Methodology
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Page 33

The auditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the bureau, publishing legal bulletins, seven during the ninth quarter, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.20 Compliance with Task 30: Develop a Rotation Schedule

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.
Methodology
The PBP has developed a personnel rotation plan, and has implemented the first phase of the plan during the second quarter. The plan, supported by Chief’s Memo 97-550, has transferred 91 officers to other assignments through January 1, 1998. Additional officers continue to be transferred as part of this rotation policy, with 95 officers transferred in December, 1998, and an additional 157 officers transferred in September, 1998. Transfers have continued through the ninth quarter, with 29 officers transferred to new duty assignments during the quarter. Many of these transfers are routine transfers of personnel, necessitated by normal operational decisions. Decree-related, large-scale transfers are planned annually, for implementation in January. The next cycle of consentdecree transfers is anticipated in January, 2000. As of the ninth quarter, the chief of police has distributed transfer notices for another 155 police officers, sergeants and lieutenants, effective in October, November, 1999 and January, 2000.
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Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 31 requires the PBP to “make every effort” to participate in community meetings, including those oriented toward minority groups.

Methodology

The auditor reviewed monthly attendance logs for police zones for the months of August 16, 1999 through November 15, 1999. The logs show multiple community meetings attended by PBP personnel, although the volume of meetings was reduced, presumably due to the fact that community meetings are more sparse during the summer months. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the city to have PBP
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Page 35

personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. For the last six quarters, the city has developed and aired (on average eight times daily) on the city’s public access cable channel a professionally created video tape explaining OMI’s function in investigating complaints of alleged misconduct against city employees. The video covers all important aspects of the internal investigations process, and according to the city, reaches 105,000 households throughout the Pittsburgh area. Based on 2.7 residents per household (a national average), the video is reaching nearly all of Pittsburgh’s residents. The city has also printed a brochure explaining the OMI function and has distributed the brochure to all of the city’s community organizations and placed these brochures in all city buildings. Members of the audit team noted the presence of these brochures at all zones visited (two and four) during the site visit for the ninth quarterly report. Information was obtained from one OMI complaint investigations that officers at one police zone may have refused to take a citizen’s complaint over the telephone. The auditor has requested that this case be reopened and that this allegation be fully investigated.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 33 requires the city to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.
Methodology
The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted two site-visits of the training academy, and
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Public Management Resources San Antonio, Texas

Page 36

have interviewed many of the personnel assigned to the training academy. The bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 1999, the bureau has continued to train its officers in the topics of cultural diversity, “effective communication” and ethics. To date, according to the training academy’s records, all but eleven bureau personnel have received training in cultural diversity for the 1998-99 training cycle.

More importantly, perhaps, the department is currently engaged in a reengineering effort for its cultural diversity program. The revised curriculum for this topic was developed by a Cultural Diversity Task Force Team, which assisted the training academy in developing the new curriculum. Research for the revised training curriculum is complete, and entails a careful analysis of demographics, linguistics, process and impact of diversity. The entire curriculum is now complete, and during the ninth quarter, the academy has begun delivery of this new curriculum.

Not all personnel have received the new curriculum, but progress is being made monthly in the delivery of the new cultural diversity component.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 34 requires the city to establish monitoring systems which will assess citizens complaints for indicators of needs in training or re-training. The bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.

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Page 37

Methodology

In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports.

It is clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the eighth and ninth quarter, training academy staff completed a review of citizens complaints and use of force reports with the aim of improving, where applicable, training curricula. Reports from the academy continue to be reviewed, assessed and critiqued by command staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 35 requires the city to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de-escalation training “into all other training that implicates the use of force.”
Methodology
The city and the bureau continue to make progress toward compliance with this task. The city is currently under contract with a nationally recognized consultant to deliver a series of classes on “verbal judo,” a process of verbal de-escalation which is recognized nationally as effective in reducing police-involved violence. To date, the bureau has trained all but one of its 1,040 eligible officers (with the exception being those on extended medical or similar leave, and thus not performing police duties) in “verbal judo” and/or tactical communications. As of October, 1999, the latest date for which data are available, retraining for 1999 in verbal judo nearly has been completed.
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The bureau-wide process of reviewing all use-of-force curricula has been completed, and a new “use of force” training curriculum has been implemented by the bureau. Nearly 40 percent of the bureau’s sworn personnel have been through the new curriculum. An additional 686 officers remain to complete the new curriculum; however, coupled with previous use of force training, and based on plans to complete the “cycle” for the new curriculum in use of force, the bureau remains in compliance with this task.

The “neck restraint” method trained previously has been replaced with a more reliable and effective maneuver, and this process has been classified—appropriately—as deadly force. These changes have not been incorporated into PBP policy as of the ninth quarterly audit; however. the auditor has noted a significant drop in the occurrences of one problematic use of force maneuver, the “chokehold to recover narcotics.” All of these factors are related to the new “integrated training” processes identified by the bureau—standardizing all training components related to use of force, such as verbal de-escalation.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 36 requires the city to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation “at the beginning of the training curriculum to serve as a foundation for all other classes.” No recruits were trained in the ninth quarter. The last recruit class offered by the PBP ran from May 19, 1997 through October 24, 1997. The recruit curriculum offered “ethics” training in weeks three and four, human relations skills in weeks four and five, multi-cultural training in week six. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree. No new recruit classes have been offered since October, 1997, thus no additional audit of the recruit training curriculum was possible.

Status:

Primary:

In Compliance
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Public Management Resources San Antonio, Texas

Page 39

Secondary: In Compliance Operational: In Compliance
2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 37 requires the city to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the bureau’s curriculum outlines for cultural diversity and ethics. According to academy records, all but five of the department’s sworn personnel have received training in ethics through the bureau’s new “career and personal survival” training component. The bureau has contracted with a nationally-recognized provider of training in police ethics, and has substantially revised the curriculum for the 1999 calendar year. The latest ethics training was conducted in October, 1999 as part of the State of Pennsylvania’s mandatory training cycle.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY
OPERATIONAL
Paragraph 38 requires the city to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.
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Page 40

Methodology

The auditor assessed primary steps necessary to complete the tasks required by this paragraph. The bureau has completed work on a script for a training video; the script has passed legal review, and the initial taping has been completed. An initial session was presented by the OMI manager to recruits. The training of “all officers” in the OMI complaint process has been completed for all officers except those on extended leave. Based on a review of the training records, the department has trained approximately 100 percent of its officers in the OMI process.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.29 Compliance with Task 39:

Encourage Qualified FTO

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 39 requires the city to recruit “highly qualified” Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the city to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.

Methodology

The bureau is currently planning the addition of nearly 40 new FTOs. Discussion at the last quarterly COMSTAR meeting addressed methods for ensuring that quality FTOs are recruited, trained and deployed. The bureau remains in compliance with this task based on past performance. A second thorough review of FTO recruiting and selection processes will be conducted during the tenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.30 Compliance with Task 40:

Train all FTOs and Instructors

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 40 requires the city to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the city require FTOs and instructors to “demonstrate on a regular basis, their proficiency in their areas of instruction.”
Methodology
The auditor reviewed the training curriculum for FTOs and instructors provided by the PBP. All instructors and FTOs are first “instructor development certified” by either the Federal Bureau of Investigation or Indiana University-Pennsylvania. FTOs then receive an additional five days of training at the PBP Academy for specific FTO-related topics. The specific provisions of paragraph 40 requires “demonstration on a regular basis…[of] proficiency in their areas of instruction.” The Police Bureau requires a formal assessment, using two forms specifically designed for evaluation, of the FTOs. The first (“Field Training and Evaluation Program—FTO Critique Form) is a two-page evaluation completed by field trainees. The form evaluates FTOs relative to the trainees’ assessment of the FTO’s ability, interest, knowledge, skill, ability to communicate, and fairness. The aggregate data collected through this process is shared with the FTO by the Academy commander. In addition, the PBP assesses FTOs by requiring their supervisors to complete an evaluation form (Field Training and Evaluation Program—FTS Critique Form). This form requires supervisors to rate FTOs on their skill as a trainer, their ability to communicate, their fairness, promptness, and attendance. These data as well are shared with the FTO.
In addition, the Academy tests for all consent-decree and state mandated training classes. The Academy evaluates instructor proficiency through these test scores, assuming that effective instructors produce students who can pass Bureau and State exams. The process of testing for all consent decree-related training is relatively new; however, during the fifth quarter, more than 1,000 exam scores were reviewed by the auditor. The vast majority of test scores of PBP personnel were in the 85-100 range (of a possible 100). The examinations that the auditor reviewed indicated a close correlation between the instructor’s syllabus and the exams. Further, a review of the examinations indicated that they are substantive and not, on their face, overly simple or easy to pass.
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Page 42

During the audit for the ninth quarter, the auditor conducted a second site visit at the training academy, and randomly pulled training documentation files for police instructors. A comprehensive assessment was also conducted of records documenting training processes at the academy for the last twelve months. All instructors’ files assessed were found to be in order, with one exception. While the documentation supporting one instructor’s training and certification in defensive tactics was not found in the instructor’s files, it was located elsewhere in academy files. The academy file was instantly updated by academy staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 41 requires the city to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”
Methodology
The auditor conducted a thorough ninth-quarter review of the Academy’s training records during a site visit to the Academy. Selected training curricula were assessed, and specific documents were selected for further analysis. This included training records for state-mandated and consent decree-related training. These records now appear to be up to date and complete. The records are kept in useable format, and are managed by a sworn officer, adept in manipulation of the database, and capable of generating ad hoc reports. The records currently can generate reports by officer, training topic, hours, date and test score.
Changes to the Academy’s record-keeping processes continue to evolve. In addition, this quarter’s assessment shows the records to be free from error, and to exhibit a “living” quality, i.e., they are updated frequently, and are subjected to error checking and correction processes. The Academy currently forwards training records to the auditor electronically. The bureau continues to be in
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Page 43

compliance with this task. A review of new training curricula and syllabi during the ninth quarter indicates continued adherence to national standards regarding documentation of the training process.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42:

Document Mandatory Counselings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 42 requires the city to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of data for the ninth quarterly report, the department’s centralized file that is used to document mandatory counselings was reviewed. Two mandatory counseling sessions were ordered this quarter for PBP personnel. A sergeant was counseled and retrained on the bureau’s grievance procedure and a commander was counseled regarding the city’s electronic communications policies.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Training

Annual Supervisory and Leadership

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 44

Paragraph 43 requires the city to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors (commanders and above). The bureau continues to move forward with training for its senior supervisors. All supervisors have received the updated ethics training being designed by the bureau, and 18 of 19 command personnel have received the training. Scores for some command personnel were not recorded in the training database, however. Test scores for senior supervisors continue to average in the high 80s.

It appears, from the records available at this time, that seven of 19 command personnel have been trained at Pennsylvania State University’s “POLEX” command staff training program. An in-service component on “integrity” has been developed, and all senior supervisors have received this updated training, offered by one of the most respected names in the field.

The bureau continues to avail itself of annual in-service training for command personnel, with topics including cultural diversity, ethics, and command accountability, although some topics are not received annually by all command personnel. A total of 17 of 18 command personnel have been trained in conflict resolution; 18 of 18 received the newly developed “Career and Personal Survival” component; 18 of 18 received training in conflict resolution; and 18 of 18 received the component on “Integrity and Leadership.” All command personnel received training in at least three of the four training topics/programs for command personnel.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.34 Compliance with Task 44: OMI Quality Assurance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8 Q9

PRIMARY SECONDARY OPERATIONAL

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Page 45

Paragraph 44 requires the city to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available for OMI investigations from 1986 through 1999. Using this database, records of complaints for individual officers can be easily identified; however, assessment of complaint history on a routine basis, for all officers, is cumbersome and difficult. As of September 1, 1999, the OMI manager, the intake coordinator and one investigator have been trained in the new PARS program.

Given several innate weaknesses in the OMI database, the system is currently being re-written, transitioning it into a more suitable management tool. The audit team met with representatives of CIS during the November site visit and discussed plans for revision of the OMI management information system. The auditor reviewed the prototype of the new system during the August site visit, and has found it to be an acceptable response to the requirements of this section of the consent decree. Projections call for the new OMI management system to be on-line in January, 2000.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 45 requires the city to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.
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Page 46

Methodology

The auditor has reviewed Chief’s Orders 97-009 and 97-024 which established the zone “performance files.” These orders required the creation of disciplinary files at the zone level which “contain all OMI and non-OMI complaints that have been filed against the officer,” (CO 97-009). CO 97-024 requires that performance files “shall be available to personnel within the officers’ chain of command … responsible for the officers’ training, counseling, or discipline.”

The PBP continues to provide access to police officers’ files in an area of each zone station house which is accessible to sergeants and lieutenants working evening and night turns.

All officers at zones two and four who had received three complaints of a similar nature in the past two years or five complaints within the last two years were appropriately noted in the performance files. Performance files also contained copies of appropriate performance evaluations, commendations, Supervisor’s Daily Activity Reports, and preliminary complaint review forms. The bureau remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY OPERATIONAL SECONDARY

Paragraph 46 requires the city maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the city to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be “identical” to that received by OMI police investigators. The paragraph further requires that the city make the OMI manual available for inspection at PBP facilities and at the OMI office.

Methodology

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Page 47

The auditor reviewed the OMI manual, as promulgated on December 1, 1997, for revisions and assessed OMI training documents. In addition, the auditor reviewed training records for OMI personnel. Records provided by OMI indicate that all new civilian OMI investigators have received on-site training during the ninth quarter, and the office continues to implement its training plan for investigative personnel.

The Office is in primary compliance with the requirements relating to promulgation of an OMI manual, and provision of training for OMI staff. In addition, the Office has developed an annual training plan for 1998-99, and made all suggested revisions in the OMI manual during the last quarter. No new revisions were made this quarter. The Office is undergoing rapid change—both in the nature and number of personnel and in organizational structure. No assessment of the Office’s training process was conducted this quarter in deference to the understood difficulty of training in a rapidly changing environment. The auditor anticipates a full training review during the tenth quarterly audit’s site visit phase.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47:

Receipt of Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 47 requires the city to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.
Methodology
The auditor reviewed 20 of 31 final reports of completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were “required” to complete any OMI form prior to receipt of the complaint and initiation of the investigation.

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The revised OMI manual was assessed to determine levels of compliance with the stipulations of paragraph 47 and the consent decree. The OMI manual requires that complaints will be received via telephone, facsimile, mail, or in person, as well as anonymously. Revised OMI form 103-97 includes a checkbox for each receipt method. Further, the auditor assessed completed OMI complaint investigations to determine if complaints were being received in accordance with the decree.

Evidence was available in the completed investigations to indicate the particular method by which complaints were being received. In the investigations reviewed by the auditor, ample evidence existed of receipt of complaints via telephone, letter, in-person and from third-party complainants..

Completed investigations were reviewed for any indication of requirements for complainants to complete forms prior to initiation of an investigation. None of the 20 files reviewed included any form completed by a complainant.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 48 requires that the city accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

Completed OMI complaints were assessed for the source of the complaint. No anonymous complaints were resolved this quarter. However, one anonymous complaint was resolved during the eighth quarter. That complaint was investigated thoroughly and completely. The city is judged to be in operational compliance with task 48.

Status:

Primary:

In Compliance
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Page 49

Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49:

Closure of OMI Investigations

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. During the ninth quarterly review, the auditor found eight complaints filed with the Office of Municipal Investigations which were either “officially” withdrawn by the complainant filing the complaint, or in which the complainant refused further cooperation with the Office. All of these complaints were investigated to completion by the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 50 requires the city to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the city publicize the new OMI location.

Methodology

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Public Management Resources San Antonio, Texas

Page 50

During the second quarter, the auditor verified that OMI had been relocated, and assessed the relocation as meeting the requirements of the decree. The only element precluding operational compliance with section 50 of the decree, at that time, was lack of “notice” to the public of the relocation. During the auditor’s site visit for the fourth quarter’s audit, the level of notice of the relocation was assessed. The city has taken proactive steps to publicize the location or function of OMI since the last quarter. A public-access video has been aired detailing the Office’s new location, and brochures have been printed and distributed noting the Office’s new location. These brochures were available at all city buildings visited by the auditor this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 51 precludes the city from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the city to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The city is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings “in all city buildings.”
Methodology
The auditor reviewed supporting documentation for 20 of the 31 citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a city facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes, over the telephone, and by meeting individuals at locations convenient to them. Of the 20 cases reviewed this quarter, evidence existed in nine cases suggesting that the Office routinely makes itself
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Page 51

available to citizens “in the field,” either at alternative sites, the complainant’s home, or over the telephone. The auditor reviewed attendance logs for OMI’s quarterly meetings (August through November, 1999), and reviewed the newly revised OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings.

The quarterly attendance logs indicate that OMI personnel have conformed to the requirement to attend quarterly meetings. While they offer to take complaints at these meetings, according to staff, no such complaints have been registered or investigated. The OMI manual, at section 4-1(B) stipulates that “OMI also accepts complaints during quarterly, off-premises meetings in rotating zones.” This quarter, the city advertised zone meetings in city buildings, and provided copies of publicity notices used to publicize the OMI quarterly meetings in city buildings. Further, the brochures printed by the city and the video completed and aired to all cable recipients, provides further information regarding identifying the location of zone meetings (by providing a contact name and a telephone number).

While no logs were provided to ensure that “all city buildings” had posted notices of zone meeting dates, time and locations, the use of the OMI public-access video, coupled with the printed OMI brochure, gives, in the opinion of the auditor, ample notice allowing those interested to attend zone meetings. Further, it should be noted that each city facility the audit team visited this quarter had the OMI brochures prominently displayed in public areas. OMI did complete one investigation this quarter based on information obtained from OMI-staff attendance at meetings of the Civilian Review Board.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 52 requires the city to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.

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Page 52

Methodology

The auditor tracked the paper trail from OMI to zone-level senior supervisors, and for evidence at the zone level of notification from OMI of use of force, improper search or seizure or racial bias. OMI does issues monthly reports identifying officers complained against, the type of complaint and a brief narrative. These reports are forwarded to the Chief of Police, and the Deputy Chief for Operations, and through them to the zone commanders. In addition, any complaint alleging racial bias is automatically forwarded to the Human Relations Commission (although this process is not treated in the new OMI manual). Each quarter, OMI sends updated complaint listing to each zone commander, listing all civilian complaints filed against personnel in each zone.

During this quarter’s site visit, the auditor was able to track a “paper trail” of notice to senior supervisors of complaints filed by citizens, noting dissemination of quarterly and monthly OMI reports to senior supervisors of the bureau of Police. In addition, notice is sent to each zone, and filed in the zone performance file, of OMI investigations of allegations against officers assigned to the zones. This includes all allegations, including those of improper use of force, search and seizure and racial bias. During the site visits at zones two and four, the auditor reviewed the zones’ performance files and found them to be accurate and in order. The bureau is deemed to be in operational compliance for task 52.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation

Responsibility for Complaint

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 53 requires the city to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to “settle” OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.

Methodology

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Page 53

The auditor reviewed the OMI manual for sections relating to paragraph 53, interviewed OMI personnel, and reviewed OMI case files for any indication of incompleted or “withdrawn or settled” OMI cases. Section 2-1 of OMI’s new manual charges OMI with jurisdiction to “investigate all personnel of any department of the city of Pittsburgh...” and specifically notes the departments over which OMI has investigative authority, including the PBP. A review of all 31 of the completed OMI investigations for this quarter reveals no evidence to indicate that the city does not remain in compliance with this task. Eight cases were found in this quarter in which the complainants either officially notified OMI of their desire to withdraw his complaint, or in which the complainant refused to cooperate further with the Office. These complaints nonetheless, were investigated to completion by the office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Number on Request

Officers to Provide Name and Badge

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, “Conduct Toward the Public” requires that “when requested by any person, a member shall give his name and badge number in a courteous manner.”

Methodology

The auditor reviewed a sample of completed OMI cases for the ninth quarter (August 16, through November 15, 1999) to determine if allegations of failure to provide name and badge number were made to OMI. One such allegation was found. The investigation did not sustain the allegation; however, the auditor has remanded this case to OMI to be reopened (see 2.62, below). The bureau did sustain one allegation of failure to provide name and badge number during the sixth quarter, however. The bureau is judged to remain in compliance with this task.

Status:

Primary:

In Compliance
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Secondary: In Compliance Operational: In Compliance

Page 54

2.45 Compliance with Task 55: Alternative Sites

Interview of Complainants at

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants “off-site,” if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted “off site.” Among the 20 completed investigations assessed during this quarter, ample evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough (three of 20 cases) to indicate that these interviews were a normal practice for the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: Interviews

OMI to Tape and Transcribe

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept “special reports” in lieu of an interview. Further OMI is required
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to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

The OMI manual stipulates a “Tape Recorded Statement Form” and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed 20 of 31 cases completed this quarter by OMI, based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases in which interviews were conducted after resolution of the Fraternal Order of Police’s “test case” on this issue included transcriptions of OMI interviews of officers, witnesses or complainants.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57:

OMI Staff Access to PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8 Q9

PRIMARY SECONDARY OPERATIONAL

Paragraph 57 stipulates that OMI staff should be provided access to the city’s PARS. The manager of OMI, the intake coordinator and one investigator have been trained in the use of the PARS. The office currently has virtually unlimited access to OMS/PARS to prepare complaint histories, assignment histories, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.48 Compliance with Task 58:

OMI to Interview Supervisors at

Scenes of Incidents Leading to Allegations of Misconduct

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

As noted in the first auditor’s quarterly report, the OMI manual contains language concerning the need to interview senior supervisors and supervisors; its revised version requires OMI investigators to determine the supervisors’ “handling of … situation[s] during and after the alleged incident[s]” and their “observations of the complainant[s] and the accused officers.”

Further, OMI case reports which were reviewed were assessed for any evidence that the investigator had attempted to locate any potential supervisors at the scene. One of the 20 cases reviewed during the ninth quarter produced an indication that supervisory personnel were present (AQR9-AC). This case file included an interview with the on-scene supervisor; however, the questions put to the supervisor were poorly crafted. The city remains in compliance with the requirements of this task, based on past performance. Additional attention to development of relevant questions for supervisors is necessary to maintain compliance, however.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59:

OMI to Canvass for Witnesses

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 59 requires OMI to canvas the scene of an incident for witnesses “as soon as possible” after receiving a complaint where canvassing could “reasonably yield” additional information.
Methodology
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The auditor reviewed the OMI manual, Section 6-1G, which requires neighborhood canvasses, “as soon as possible” after receiving a complaint. Case tracking forms also include a “check off” box for witnesses located through the canvassing process.

The auditor reviewed 20 of 31 completed OMI cases for the ninth quarter (August 15 through November 16, 1999) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Ten of these cases which appear to involve fact situations or locations in which a canvass would potentially produce witnesses. An effective canvass was conducted in only six of these cases. In the other four, the canvass was either not done, or was done ineffectually. Three of the four cases in which an effective canvass was not done involved cases more than a year old. The Office has been compliance with task 59 since March, 1998; however, renewed training and a heightened managerial focus on appropriate conduct of canvasses for witnesses may be required to maintain this compliance.3

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60:

OMI to Review Police Shootings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.
Methodology
The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the ninth quarter and found one (the same number investigated during the last quarter). The Office reviewed this

3 In an agreement between the auditor and both parties, losing compliance requires more than one quarter of poor performance, once a record of compliance has been established. The errors and omissions in OMI case performance this quarter are serious. If a repeat of this level of performance re-occurs, it will result in loss of compliance status with Task 59.
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shooting, using its officer-involved shooting protocol. The Office is judged to have remained in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: Allegations of Misconduct

OMI to Aggressively Investigate

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL
Paragraph 61 requires that OMI investigators “aggressively” investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed 20 of 31 OMI investigations completed from August 16, to November 15, 1999, to assess the level of compliance with paragraph 61.

The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting.

Of the 20 investigations assessed for the ninth quarter, nine had some form of
defect requiring the case to be re-opened. This error rate, 45 percent, is attributable to the following problems:4

Placing a burden on the complainant to prosecute the case: One incident

Failure to canvass for independent witnesses:

Four incidents

Failure to include supporting Field Contact/Search

and Seizure Reports or Subject Resistance

Reports in the case file:

Six incidents

Failure to ask appropriate questions in witness or employee

Interviews:

Two incidents

Poor case strategy planning:

One incident

4 These numbers total more than 20, since some cases exhibited multiple problems. Auditor’s Ninth Quarterly Report January, 2000 Public Management Resources San Antonio, Texas

Page 59

Misclassification of the final disposition (particularly “unfounded” and “exonerated:”
Failure to document interviews of all relevant witnesses: Failure to address “collateral misconduct:” Failure to include necessary supporting documents: Failure to sustain a case in which the officer admits to
the activity charged : Failure to address all of complainant’s allegations
during the course of the investigation:

Three incidents One incident One incident One incident
One incident
One incident

Some of these problems are evident, no doubt, because of the length of time many of these cases have been “pending.” In addition, many of these cases were investigated by new staff who may not have yet adapted to the complex methods required for completion of an investigation of a citizen’s complaint. The Office should focus carefully on its quality control, case planning and case review practices to avoid a similar failure during the coming quarter.5 A complete description of the problems evident in these cases is included in section 2.62, below.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.52 Compliance with Task 62: Four Corners”

OMI to Act on Behavior “Outside the

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled “outside the four corners” of the original complaint.
Methodology

5 In an agreement between the auditor and both parties, losing compliance requires more than one quarter of poor performance, once a record of compliance has been established. The errors and omissions in OMI case performance this quarter are serious. If a repeat of this level of performance re-occurs, it will result in loss of compliance status with Task 61.
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The auditor reviewed the OMI manual for reference to the requirement to note conduct “outside the four corners” of the complaint which violates departmental policy or procedures. The OMI manual refers to such complaints as “collateral misconduct,” and stipulates in Section 6-8 that “if, during the course of an OMI investigation, an OMI investigator has reason to believe that … collateral misconduct [occurred] the investigator must investigate and make findings with regard to such collateral misconduct.”

Three cases were found this quarter in which the investigation yielded evidence of potential collateral misconduct. The Office thoroughly investigated two of these collateral misconduct issues. On the third, however, the investigation yielded an allegation that a citizen called a zone station to complain about the performance of an officer and was told to “call 911.” This allegation, if true, violated the Bureau’s policies regarding acceptance of civilian complaints. No OMI investigation of this collateral misconduct was initiated. Improved scanning of citizen complaints for indicators of collateral misconduct is necessary if the Office is to retain its compliance status for this task.6

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.
Methodology

6 In an agreement between the auditor and both parties, losing compliance requires more than one quarter of poor performance, once a record of compliance has been established. The errors and omissions in OMI case performance this quarter are serious. If a repeat of this level of performance re-occurs, it will result in loss of compliance status with Task 62
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The auditor reviewed final reports of all 31 investigations completed by OMI between August 16 and November 15, 1999. In addition, the auditor reviewed supporting documentation for 20 of the 31 reports issued this quarter. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree A total of nine of the 20 report files reviewed by the auditor had some form of weakness in completeness, conformance to established practice, or documentation.7

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 64 requires the city to provide OMI with “sufficient staff, funds and resources to perform the functions required” by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree, is relatively easy to define: the Office is adequately staffed when the number of completed cases equals the number of cases received by the Office, over a protracted period of time. During the last eight quarters, the ratio of complaints cleared to complaints received has never exceeded 75 percent. While additional personnel were added to the OMI complement during the ninth quarter, the Office continued to run a backlog of cases for this quarter. While the Office completed and forwarded to the auditor for review a total of 31 investigations the office received 74 complaints during the

7 In an agreement between the auditor and both parties, losing compliance requires more than one quarter of poor performance, once a record of compliance has been established. The errors and omissions in OMI case performance this quarter are serious. If a repeat of this level of performance re-occurs, it will result in loss of compliance status with Task 63.
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ninth quarter, adding an additional 43 cases to the backlog of cases currently pending.

An additional investigator has been assigned to OMI this quarter, and plans are underway to add two more. Once these additional (temporary) investigators are assigned and trained, OMI will have eight full-time investigators assigned to police cases, and two part-time investigators assigned to police cases.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL

Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology

The auditor reviewed the OMI Manual of Policy & Procedure, which states at Section 7-4 that “all findings by OMI shall be based upon the ‘preponderance of the evidence standard.’” The revised (5/98) document defines this standard for the reader, using applicable civil law definitions. The auditor reviewed all 31 OMI investigations completed this quarter, and found each to conform to the preponderance of the evidence standard, as articulated in the OMI manual.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.56 Compliance with Task 66: Statements

Apr 97 Q1

Q2

No Preference for Officers’

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL
Paragraph 66 stipulates that “there shall be no automatic preference of an officer’s statement over a complainant’s statement,” and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed the OMI Manual of Policy and Procedure for references to preferences to officer’s statements, and found a reference in the revised (5/98) Section 6-9. There were also references to credibility determinations (Section 69) which conform to the requirements of paragraph 66.

In addition, the auditor reviewed all 31 investigations of citizens’ complaints completed during the ninth quarter for conformance to this requirement. In each of these 31, credibility assessments were documented in the final report. No automatic preference for officers’ statements was noted.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.57 Compliance with Task 67: Authority

OMI Retains Final Investigative

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes
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supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between August 16 and November 15, 1999, searching for a case which resulted in a finding which was “reversed” by a supervisor or senior supervisor. No such cases were found, although one case was found in which a senior supervisor corrected a commander’s note acknowledging receipt of an OMI finding, and another indicated a careful reading of the OMI case by senior supervisors who caught and corrected an error in the cover memorandum written by OMI and used to transmit the finding to the Bureau. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Resolved”

Change “Not Sustained” to “Not

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 68 requires the city to change the OMI disposition category of “Not Sustained”
Methodology
The auditor reviewed the OMI manual, which stipulates at 7-1B, that cases which generate “evidence that is insufficient to prove or disprove that accountability standards have been violated” will be classified as “Not Resolved.” Further, the auditor assessed all completed OMI investigations for the August 16 to November 15, 1999, to determine if the disposition of “Not Resolved” was appropriately used.
During the seventh quarter, the auditor noted a discrepancy in case resolution between the “not resolved” classification and “unfounded” classification. As a result of this discrepancy, the auditor reviewed all final reports prepared by OMI during the ninth quarter, particularly with respect to the disposition classification
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of “not resolved.” Four of the 31 cases completed this quarter was classified as “not resolved,” and, in the judgment of the auditor, this classification was justified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69:

OMI to Issue Quarterly Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

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Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December, 4 1997, and has been updated annually. The city is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the city is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Assurance Checks

Auditor to Perform Quarterly

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

• OMI final reports; • Substance and timeliness of 50 percent of all OMI investigations completed; • Statistical information on the number and types of complaints filed with OMI; • Statistical information on discipline imposed on sustained complaints; • Assessments of officer use of force, searches and seizures, and traffic stops.

Methodology

Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.

Number and Type of Complaints Filed

Complaints filed with OMI over the last seven quarters fall into three categories:

• Type 1 (allegations of rules violations); • Type 2 (allegations relating to attitude and conduct); and • Type 3 (allegations of abuse).

Type 1 allegations include failure to perform, neglect of “ministerial” duties, inaccurate reporting, violation of departmental orders such as those regulating
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secondary employment, minor events of conduct unbecoming an officer, etc. Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self-assigned investigations, and failure to perform or neglect of duty “on scene.” Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse.8 Table One, below, depicts the number and type of citizens’ complaints received by OMI during the seven quarters covered by the consent decree.

The data reflected in Table One are presented in Figure One, below, which depicts the percent of complaints received, by type of complaint, by quarter. As Figure One indicates, the relative percentage of the more serious complaints (Type 2 and Type 3 complaints) appear to have dropped substantially since the beginning of the decree, although the number of Type 3 complaints indicates numerical a rise for the ninth quarter.

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 8th Quarters (1997-1999)

Quarter Type 1 Type 2 Type 3 Total

One

18

9

26

53

Two

22

15

39

76

Three

33

32

59

124

Four

42

19

84

145

Five

33

18

58

109

Six

8

12

24

44

Seven

25

1

15

41

Eight

14

16

13

43

Nine

39

0

35

74

Total

234

122

354

709

Source: Electronic database provided by City of Pittsburgh, CIS.
Average Complaint Severity

Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated for the nine quarters covered by this report. The average (mean) severity of complaints filed with the office are represented in Figure Two, below. As the figure indicates, the average severity of complaints has dropped since the beginning of the consent decree.

8 Exact classifications are still under discussion with the City and the Department of Justice. Auditor’s Ninth Quarterly Report January, 2000 Public Management Resources San Antonio, Texas

Page 68

Figure One: Percentage of Type 1,2 & 3 Complaints Received by Quarter (1997-1999)

100%

90%

80%

70%

60% 50% 40%

Type 3 Type 2 Type 1

30%

20%

10%

0%

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Q9

Quarter

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

Figure Two: Mean Complaint Severity by Quarter (1997-1999)
2.5

2

1.5

1

0.5

0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Q9

Quarter

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Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rates of Sustained Citizens’ Complaints
Complaints investigated by OMI are classified, upon completion, as one of four disposition categories:
• Exonerated (evidence indicated that the event occurred, but that the officer was acting in conformance with the law or PBP policy);
• Not Resolved (not enough information was available to prove or disprove the allegation);
• Sustained (evidence indicated that the allegations were true; or • Unfounded (evidence indicated that the allegations did not occur).
Figure Three, below, depicts the rates at which OMI resolved the complaints received during the first nine quarters covered by this report. The percentage of sustained complaints appears to have risen gradually over the nine quarters, from an average seven percent in the first three quarters to an average of 11.7 percent in the last three quarters.
Figure Three: Resolved Complaints by Disposition,, by Quarter (1997-1999)

1.20 1.00 0.80 0.60
0.40 0.20 0.00
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Quarter

Sustained Exonerated Unfounded Not Resolved

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
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Rate of Sustained Complaints

The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Four, below. The data depicted in Figure Four were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any finding other than “sustained.”

Figure Four reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation. As with other data reported in this section, Figure Four deals only with investigations of complaints filed by citizens. Complaints investigated by OMI as a result of an internal infraction referred to OMI by the bureau of Police are not included in these analyses.
Figure Four: Rate of Sustained Citizens’ Complaints By Quarter (1997-1999)

0.2

0.18

0.16

0.14

0.12

0.1

0.08

0.06

0.04

0.02

0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Q9

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Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

Complaints Received and Complaints Cleared

The number of citizens complaints received by OMI during the last nine quarters, compared to the number of complaints resolved by the Office is reported in Figure Five, below. As with all other data reported in this section, these data are also calculated using data provided by the city and “cleaned” by the auditor’s staff.

Figure Five reports two categories of data for the nine quarters covered by this report. The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously). The second category reported identifies the number of complaints resolved by OMI investigation.

Figure Five: Complaints Received v. Complaints Resolved, By Quarter (1997-1999)9

160 140 120

145

124

109

100

80

76

74

60

53

40 24

20

10

26

24

39

44

41 43

31

31

24

12

0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9

Cleared Received

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of OMI Investigations

9 Cases cleared as reported by the OMI database differ from cases forwarded by OMI to the auditor for review. An assessment is currently underway to determine the source of this error.
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Figure Six depicts the average length of time (in number of days) required to complete an OMI investigations during the last seven quarters covered by this report. The data depicted in Figure Six were calculated by determining the number of days from complaint receipt to compliant resolution, as reported in the OMI database, for each investigation completed during each of the seven quarters covered by this report. An arithmetic average (mean) was then calculated for each quarter.
Data for Figure Six reflect an intensive training schedule for OMI personnel, beginning in the third quarter. In addition, two cases (one each in the first and second quarters) had missing data in the received/resolved columns, which skewed reported data for those quarters. These data also reflect the fact that OMI is beginning to “clear up” long-term pending cases.
Figure Six: Average Length of Time Required to Complete OMI Investigations, by Quarter (1997-1999)

400 350

342

300 250

233

200

150

105

149

100

50 30

32

38

47

54

0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

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Length of Pending Investigations

The length of time OMI investigations are pending is reported in Figure Seven, below. The number of citizens’ complaints currently pending for each period of time (0-3 months, through more than 18 months) are depicted.

The data were collected by subtracting the date the complaint was received by OMI from the effective date of the end of the ninth quarter (August 15, 1999). For the purposes of this report, a “month” was operationalized as 30 calendar days. Using 30 as the divisor, the total number of “pending” months was calculated for each complaint. For example, Figure Seven indicates that OMI has 50 citizens’ complaints which are classified as “open” nine-twelve months after they were filed.

Figure Seven: Length of Pending Investigations of Citizens’ Complaints (1997-1999)

120 100

107

105 99

80

75

75

58

60

50

40

20
0 0-3.0

3.1-6.0

6.1-9.0

9.1-12.0 12.1-15.0

Months Pending

15.1-18.0

18.1-21.0

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

2.62 Compliance with Task 72:

Auditor to Recommend Reopening of

Incomplete OMI Investigations

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete. Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.
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Methodology
The auditor has reviewed all 31 final reports of OMI investigations of citizens’ complaints completed between August 16, and November 15, 1999. In addition, the auditor conducted a comprehensive review of supporting documentation for 20 cases completed during this time frame. Of those 20 cases, seven are remanded to the Office of Municipal Investigations for additional work. These include the following cases.
AQR9-S, a case involving failure to divulge name and badge number in which a known witness, the mother of the complainant, was not interviewed. There may be reasons for this failure, such as an inability to locate the mother, illness, etc.; however, the reasons for not interviewing this witness need to be noted and carefully documented in the final report.
AQR9-V, a case involving an alleged illegal search which did not include the related Field Contact/Search and Seizure Report in the investigative file. While this may seem a minor oversight, it is critical that all cases involving allegations of illegal or unwarranted search and seizure include a review of the FCSSR, and an assessment of the approval process of that document.
AQR9-C, a case involving allegations of excessive force in which pictures were taken of the complainant by the OMI intake officer, but were not included in the final report.
AQR9-AA, a case involving allegations of conduct unbecoming a police officer, in which investigators, apparently, failed to ask critical questions related to the allegation of officers and witnesses, and failed to interview critical witnesses.
AQR9-B, a case in which a police officer admits an illegal search of as many as nine students, in violation of PBP policy, yet which is “exonerated.” The investigation includes statements from the police legal advisor noting the search was illegal, and there is no FCSSR included in the case file. There is also no “collateral misconduct” investigation for failure to complete and file an FCSSR.
AQR9-E, a case involving allegations of a racial slur in which the questions asked by investigators during the interviews of witnesses and police officers do not address the issue of a racial slur, yet findings indicate that the actions contained in the allegation did not occur.
AQR9-AB, a case involving an allegation of an illegal search which does not include the FCSSR in the final report documentation, and does not review the approval process of the FCSSR.
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In addition to these eight cases, two other cases exhibited problematic investigative or documentation techniques. These cases had been pending for so long, however, that it is highly questionable that a recommendation that they be reopened would generate any additional information. These cases include:
AQR9-T in which the investigator simply fails to ask witnesses if they knew the names or other contact information of other key witnesses, in which emergency medical technicians on the scene were not interviewed, and in which the investigative report suggests a careful canvass for witnesses despite the indication of other documentation that no—or a poor—canvass was done. The case is over 18 months old, however, and it is highly unlikely that any information is available from a canvass at this late date. The case should be used for training of new investigators as an example of poor investigative technique, poor interviewing technique and poor documentation technique.
AQR9-AC, a case which showed no indication of a neighborhood canvass, showed no serious attempts to locate witnesses (other than by telephone), and which included an interview with the supervisor on the scene which failed to address critical questions involved in the allegation. This case, too, is over a year old, and included an uncooperative complainant. It is highly unlikely that these witnesses could be located at this date. This case, too, would be a good training tool to teach new investigators pitfalls to avoid in future investigations.
In addition to these two cases, at least two other cases were included in this quarter’s completed cases in which critical witnesses were “lost” due to the length of time between the filing of the complaint and initial attempts to locate and interview witnesses. Immediate attention to adequate staffing, training and management of the investigative process in OMI is essential to avoid continuing problems with timeliness.
During the eighth quarter, the audit report noted that:
“The city currently has a backlog of several cases which have been remanded for reinvestigation and have not been returned to the auditor. To remain in compliance with this task, these remanded cases should be completed and resubmitted expeditiously.”10
The Office of Municipal Investigation has begun to work through this process, producing initial notes to the auditor in November, 1999. No final investigative
10 Auditor’s Eighth Quarterly Report, Section 2.62, p. 73. Auditor’s Ninth Quarterly Report January, 2000 Public Management Resources San Antonio, Texas

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work has been completed, however. Substantial progress should be made on these cases during the tenth quarter if the city is to avoid a “non-compliance” finding on these tasks.

2.63 Compliance with Task 73: City to Prepare Progress Reports

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter. The first report was issued July 11, 1997; the second was issued January 16, 1998. The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The city remains in compliance with the requirements of task 73

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.64 Compliance with Task 74: City to Maintain Records Necessary

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 requires the city to maintain all records necessary to document their compliance with all terms of this decree. Further, it requires the city to maintain records required by or developed under this decree.

Methodology

The auditor asked for all pertinent copies of records required to document compliance with the decree, and received same in a timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.65 Compliance with Task 75: Unrestricted Access for Auditor

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 75 requires the city to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto. Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

During the course of development of the first Auditor’s Quarterly Report, the auditor made dozens of specific requests of the city, OMI and the Pittsburgh Bureau of Police. All requests were responded to in a professional and timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76: Unrestricted Access for Justice

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 76 requires the city to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree. Further it requires access to staff and facilities upon appropriate notice.
Methodology
During the course of the implementation of this decree, the Department of Justice has made numerous requests for information, data and access. These requests have always been honored.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.67 Compliance with Task 77: Copies of Consent Decree to All Officers

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 77 of the decree requires the city to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations. All such individuals are further required to sign a statement indicating that they have received, read and understand the statement. The city is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the city acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video11. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the city’s approach to compliance. Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

11 Officers on extended leave and who are otherwise excused for duty for extended periods of time have not viewed the video, nor have they signed the statement of understanding.
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2.68 Compliance with Task 78: 90 Day Timeline for Conformance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8 Q9

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree.
Methodology
Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the PARS. The city is currently in primary compliance with 100 percent of the 7412 provisions to which the city should have complied by now. The city is in secondary compliance with 71 of the 74 provisions due as of August 15, 1998. It is also in operational compliance with 71 of the 74 tasks, due as of August 15, 1998.13 Two requirements identified by the decree exhibited problematic performance during the ninth quarter:
• Poor investigative and documentation techniques by OMI; and • Failure to bring to closure cases that the auditor had remanded to be re-
opened.
To avoid loss of compliance status during the tenth quarterly assessment , the city needs to re-double its efforts to ensure that similar errors are not made in the future.

12 Two of the 76 tasks in the decree accrue to the auditor. 13 The auditor was unable to audit three secondary and operational compliance statistics, as noted previously in the report. This inability to audit was in all cases due to a lack of occurrences of events related to the task, e.g., no promotions during the quarter or no completed disciplinary action reports during the quarter, etc.
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3.0 Summary
The city, the bureau and the Office of Municipal Investigations have continued compliance with most elements of the consent decree during the last quarter. They have continued to take a professional approach towards the decree, insisting on complying with both the letter and the spirit of the decree, and moving with deliberate speed to ensure compliance. All of the auditor’s requests for information have been responded to with rapid compliance, and the routine response of the city to the auditor’s suggestions has been to implement them enthusiastically.
The city and the Pittsburgh Bureau of Police are nearing the end of the first phase of one of the most complex organizational change projects in the history of American policing. The consent decree has outlined changes to nearly every administrative component of the bureau. As the first phase ends, the second phase calls for Bureau personnel to begin to institutionalize the changes forged under the first phase. The city and the bureau continue to pursue both the letter and the spirit of the decree.
Unanticipated problems arose this quarter—all of them serious:
• Poor investigative and documentation techniques by OMI; and • Failure to bring to closure cases that the auditor had remanded to be re-
opened.
Many of these problems should be viewed in the light of understanding of difficulty of maintaining the high standards established over the last eight quarters. Continued problems in these areas, however, could result in a loss of compliance status.
The city has maintained a primary compliance rate of 100 percent, a secondary compliance rate of 96 percent, and an operational compliance rate of 96 percent. The city has come into compliance in all but three areas; however, these are among the most difficult areas to control, as quality assurance in the internal investigations process is among the more difficult tasks confronting American law enforcement.
On the police side, as well, the most difficult problem remains: moving responsibility for review and control of unwarranted police behavior, and recognition and award of exemplary police behavior to the sergeant’s and lieutenant’s level. Increasing supervisory presence and improving supervisory control and leadership are critical factors for the bureau, and are essential to maintain compliance.
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These two remaining tasks—establishing and maintaining the quality of internal investigations and “institutionalizing” the changes made as a result of the decree—are among the most difficult tasks in law enforcement. They will take time to accomplish. As of the tenth quarter, the decree process will be half way through its established timeline. The city and the Department of Justice are fast approaching the point at which all changes required need to be completed in order to give these changes time to take hold as part of the institutional fabric prior to the end of the five-year life of the project. Overall compliance status of the project is depicted in the Table Two, below. The city is well within reach of 100 percent operational compliance within the next quarter or two. Maintenance and refinement of compliance process will then become the focus of the quarterly audits. Table Three, below, summarizes the results of the compliance effort to date.
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Task No.
12 12a 12b 12c 12d 13 14 15 16 17 18 18b 19a 19b 20a 20b 21a 21b 21c 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38

Table Two: Overall Compliance Status, Tasks 12-38

Primary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Secondary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Operational Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

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Task No.
39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56
57 58 59 60 61 62 63 64 65 66 67 68 69 70 7314 74 75 76 77 78

Table Two: Overall Compliance Status, Tasks 39-78

Primary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Secondary Compliance
Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Yes Yes Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO

Operational Compliance
Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Yes Yes Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO

14 Tasks 71 and 72 accrue to the auditor. Auditor’s Ninth Quarterly Report January, 2000 Public Management Resources San Antonio, Texas

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Table Three: Overall Compliance Status, by Percent

Number in Compliance Percent in Compliance

Primary Compliance
74
100 %

Secondary Compliance
71
96 %

Operational Compliance
71
96 %

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 Page 1

1 Introduction

Auditor’s Tenth Quarterly Report Quarter Ending February 16, 2000

This document represents the tenth of an anticipated 20 “Auditor’s Quarterly Reports” (AQR) assessing the levels of compliance of the City of Pittsburgh (city) with the requirements of the consent decree (decree) entered into between the city and the United States Department of Justice (justice) on April 16, 1997. The document consists of three sections, identified below:
• Introduction; • Compliance Assessment; and • Summary.
The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of “compliance” are described in Section One, “Introduction.” Section Two, “Compliance Assessment,” includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, “Summary” provides an overall assessment of the city’s performance for this quarter.
1.1 Overall Status Assessment
1.1.2 Dates of Project Deliverables

Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the city; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.
1.2 Format for Compliance Assessment

The AQR is organized to be congruent with the structure of the consent decree. It reports on the city’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated “early warning system” now known to the Bureau of Police as the Performance Assessment and Review System (PARS). The following components of the decree are treated similarly. For each section of the decree, a graphic representation of the city’s compliance status is presented. The
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graphic is designed as follows. The “label” depicts the start date for the city’s

compliance actions (almost always April 16, 1997). The blue bar, below the

label,

depicts the time allotted, by the decree, for the city to comply

with the decree. The light blue, yellow, orange or red bars, below the blue bars

indicate the time expired since the start date. The vertically patterned light blue

bars indicate expired time equal to or less than that allowed by the decree. The

checkered Yellow bars

indicate expired time that is more than that

allowed by the decree, but which, in the judgment of the auditor, does not

seriously threaten the city’s successful compliance with the decree. The

horizontally patterned Orange bars

indicate expired time that is

more than that allowed by the decree, and which, in the judgment of the auditor,

may seriously threaten the city’s successful compliance with the decree. Red

bars

indicate expired time which is more than that allowed by the

decree, and which, in the judgment of the auditor does seriously threaten the

city’s successful compliance with the decree.

Apr 97 Q1

Q2

Q3

Q4

PRIMARY SECONDARY OPERATIONAL
Compliance is classified as primary, secondary and “operational,” with the definitions specified in Section 1.4, below.
1.3 Compliance Assessment Processes
1.3.1 Structure of the Task Assessment Process
Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:
• Selection of a random sample, or • Selecting all available records of that type.
Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.
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The performance of the PBP and the City of Pittsburgh (city) on each task outlined in the consent decree was assessed by the auditor during the quarter ending November 15, 1999. In order to allow time for completion of the report, the auditor completed assessment activities on February 24, 2000.
All determinations of status for the city and the PBP are data-based, and were formed by review of the following types of documents:
• Official PBP documents prepared in the normal course of business; • Official Office of Municipal Investigations (OMI) documents prepared during
the normal course of business; and/or • Electronic documents prepared by the city or components of city government
during the normal course of business.
Where practicable, documentation forming the database for this audit was selected by the auditor and the auditor’s staff directly from PBP, OMI or city files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints, were assessed by reviewing OMI files, OMI electronic files, and zone performance files.
1.4 Operational Definition of Compliance
For the purposes of this audit, “compliance” consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to “comply” as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the bureau.
During this quarter of the decree, the city, the bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.
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2 Assessment of Compliance

2.1 Methodology
The auditor assessed the city’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and “operational” (see section 1.4, above).

The following sections of the tenth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the city has complied with the 74 tasks to which it agreed on April 16, 1997.
2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System (PARS)

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY
OPERATIONAL
Paragraph 12-a of the decree requires the city and the PBP to automate the database tracking system currently in use to assess police officer performance, and to add functionality to the system, transitioning it to an “early warning system” which will assist the bureau in identifying and managing officer performance which may need improvement. The bureau has expanded the EWS concept into a Performance Assessment and Review System (PARS).
In order to accomplish this task, the city has formed a “protocol committee,” and charged this committee with responsibility for defining policies, procedures, manual and automated systems, and oversight practices for each of required elements of the PARS. The decree requires development of protocols in the following areas:
• Citizens’ complaints; • Officer-involved shootings; • Criminal investigations of officers; • Civil or administrative claims arising from PBP operations; • Civil claims against the PBP;
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• Law suits against the PBP; • Warrantless searches by officers; • Use of force by officers; • Traffic stops by officers; and • Discretionary charges filed by officers.
The city has completed work on the various protocols designed to serve as policy guidance for the PARS, and is currently revising these protocols based on the results of the first quarterly analysis of PARS data, which took place in August, 1999.
Further, the city has implemented a supplementary supervisory device, the Supervisor’s Activity Report (and supporting policy and training), which requires supervisors to provide an on-scene presence at selected patrol activities conducted by personnel under their command. The process requires supervisors to exhibit a field presence, assessing the quality of work of patrol officers regarding performance, adherence to policy and procedure, use of equipment, safety practices, communication skills, or exhibition of prohibited bias. Further, the form requires the supervisor to note recommended actions to remedy any deficiencies noted. The auditor has reviewed each of the city’s protocols, and has assessed their viability in sections 2.2-2.6, following.
Methodology
During the site visit for the tenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted in the city’s CIS conference room, using the “live” database from the operational PARS. As part of this review, data were assessed for all 1,040 police officers, assessing particularly the officers whose activity levels were assessed to be one or more standard deviations above the mean for their workgroups in the areas of citizen complaints, search and seizure activity, use of force, discretionary arrests and traffic stop activity. Results of the auditor’s review are noted below:
• The auditor’s review noted 69 police officers whose performance indicators in the PARS fell more than one standard deviation above the officers’ group means in the areas of use of force or search and seizure activity.
• A total of 21 officers were noted who had traffic stop data which indicated stop rates which were substantially different from their group norms. The vast majority of these officers (18) were officers who made a very small number of traffic stops during the quarter. Officers with one or two traffic stops have data which is not comparable to larger “group” means. The three officers noted by the auditor who had comparatively large numbers of traffic stops and
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who were “over mean” for their work group did not have a history of such activity in previous quarterly analysis.

• Simply registering “over mean” in an area of operations (traffic stops, search and seizures, or use of force) does not indicate that problems exist. Registering “over mean” simply means that the officer’s workload and activities are more closely scrutinized.

During the site visit for the tenth quarterly report, the auditor reviewed the accuracy and accessibility of the PARS by comparing data in PARS with available “hard copy” data regarding police officer activity. A total of 68 separate tests were conducted. The PARS performed accurately in each test.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-a of the decree requires the city to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.
Methodology
During the site visit for the tenth quarterly audit, the auditor reviewed the city’s Performance Assessment and Review System PARS). PARS is now completely operational, and was used by the PBP command staff to conduct its third quarterly analysis during the month of February, 2000. The auditor’s review for the tenth quarter was conducted four days after to the command staff review, in the city’s CIS conference room, using the production database from the operational PARS.
The bureau and the city continue to inspect and audit the records in the PARS, and quality control is an on-going process. During the week of the auditor’s sitevisit, the command staff conducted its second quarterly analysis of PARS data. During that analysis, the command staff reviewed the performance parameters of
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19 officers who, based on their performance records during the ninth quarter, required additional supervision, training or counseling. As would be expected, some of these 19 officers showed marked improvements in their performance. Others indicated a continuing need for supervisory monitoring. The PARS reports on each of the parameters required by the consent decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 12-b of the decree requires the city to build into the PARS the ability to retrieve information from the PARS by officer, squad, zone, unit, regarding the execution of “discretionary arrests,”1 traffic stops, searches and seizures, and use of force.
Methodology
During the site visit for the tenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted in the city’s CIS conference room, using a “live” database from the operational PARS.
A review of the capabilities of the PARS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. A total of 68 separate tests were performed, using the PARS and its supporting OMS. The OMS reported accurately in each of the 68 separate tests, and the PARS accurately reflected the data contained in the OMS. The problem with duplicate reporting, evident in the earlier versions of OMS, is not carried forward into the reporting formats of the PARS. The command staff notification system (red and yellow “bars” for officers registering more than one standard

1 Defined by the decree as resisting arrest, disorderly, public intoxication, and interfering with the administration of justice.
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deviation above the mean) reported accurately during the testing. Modifications to the PARS have been made allowing tabular data to be reported along with graphic information in the PARS.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-c of the decree requires the city to archive the records in the PARS for three years after the involved officers’ separation from service, and requires that all records be archived indefinitely. In addition, it requires the city to enter all relevant data for three years prior to April 16, 1997.
Methodology
During the site visit for the tenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted in the city’s CIS police systems room, using a “live database” from the operational PARS.
Data retention protocols for the PARS have been established which will meet the requirements of task 12-c. Data entry for the PARS for information related to bureau activities prior to April 16, 1997 has been completed for all data that could be found which were accurate. In some cases, this does not include all data between April 15, 1995 and April 16, 1999; however, the data that do exist in the PARS are the best available accurate data, based on information obtained from the city, the bureau and the Computer Information Services department of the city.
Based on an independent review of 68 officers’ records, and matching those records with paper files at the zones and OMI records, it appears that data in the PARS are reasonably accurate and reliable. All 68 officers’ records, as reflected
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in the PARS, substantially matched records included in the zone performance files and OMI records.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 12-d requires the city to develop a protocol for use of the PARS that would:
• Establish trigger thresholds for review of officer records by senior supervisors; • Establish requirements for frequency of review of officer records by senior
supervisors; • Establish the types of corrective actions to be taken by senior supervisors; • Establish confidentiality and security provisions for the PARS; • Establish requirements for quality assurance checks of data input; and • Have the protocol submitted for review 30 days before implementation.
The city has developed protocols for use of the PARS, including those controlling:
• Weapons discharges by a Bureau member; • Citizens complaints; • Civil claims arising from Bureau operations; • Initiation of criminal investigations against Bureau members; • Lawsuits arising from Bureau operations; • Reporting subject resistance incidents; • Trend analysis; • Processing allegations of untruthfulness, racial bias, domestic violence, and
physical force; • Managing search and seizure activity; and • Reporting and review of traffic stop and arrest data.
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These protocols have been reviewed by the auditor, and found to be reasonable and effective responses to the requirements of the consent decree, and in fact, in many cases, to move beyond the requirements of the decree. The protocols also address the supervisory and managerial responses required by those reviewing officers’ actions. These protocols have been revised by the city, based on training provided by the auditor in August, 1999.

Methodology

During the site visit for the tenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted using a live database from the operational PARS.

Now that the PARS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the PARS by the consent decree. The operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer performance, in compliance with the requirements of the decree. Command staff use PARS and supporting systems to conduct quarterly analysis of personnel performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 13 requires the city to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the city to submit the policy to justice for approval prior to implementation.
Methodology
The auditor has reviewed the PBP’s use of force policy, which was completed prior to the deadline, and has assessed the policy for conformance to national standards and applicable law. The newly drafted policy, effective August 15,
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1997 is well written, and is designed to allow the bureau to control effectively the use of force by the bureau’s officers.
Promulgation of the policy and the necessary training to implement it have been completed. Reporting and supervisory review processes have been implemented, and the bureau’s Subject Resistance Reports have been developed, disseminated, and implemented, and are currently being completed by PBP personnel.
Further, the auditor conducted a thorough review of a random sample of 14.8 percent (72 of 484) Subject Resistance Reports generated by PBP personnel during the quarter. The review conducted by the auditor indicates an acceptable level of command review, suggested by the fact that 297 reports were noted in which requests for additional information or re-writes of SRRs were made by supervisory, command or executive staff. In addition, the bureau retrained or counseled two officers, one lieutenant and one commander as the result of errors made in completing or reviewing SRRs. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.
Other factors also indicate that the monitoring of use of force at the bureau is taken seriously.
• First, the files reviewed continue to indicate an apparent under-use of force on the part of the officers of the PBP, e.g., multiple instances were observed in which the articulated facts supported higher levels of police force than was used.
• Second, evidence exists, in the form of follow-up memoranda by command staff personnel to indicate that the PBP command staff are carefully scrutinizing field reports (SRRs and Field Contact Reports) for sufficiency. Further, incomplete reports, or reports that indicate officers took actions outside PBP policy, are returned to the reporting officers’ chains of command, along with requirements for appropriate re-training or counseling; and
• Third, in instances in which supervisory or command personnel approved problematic reports, they are being counseled, retrained or disciplined.
During the eighth quarter, the auditor noted that the “active supervisory presence” noted in previous audits of SRR reporting—comments from supervisors noting that they had been on the scene of the event documented in the report—was not present in the reports reviewed by the auditor for this quarter. This process was improved somewhat during the ninth quarter, with a renewed “presence” obvious from comments in the SRRs from supervisors who noted they
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were on-scene during the events reported on. Only three of the 72 reports selected for review during the tenth2.7 quarter indicated a supervisory presence during the incidents reported.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 14 requires the city to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.
Methodology
The auditor has reviewed PBP policy 45-1, “Strip and Body Cavity Searches.” The policy conforms to all requirements of the decree, and was promulgated and effective November 10, 1997. A review of the training records of the bureau indicates that, as of May, 1999, the department had trained all active duty officers in its strip search policy.2 In addition, the auditor has reviewed a randomly selected sample of completed “Field Contact/Search/Seizure Reports” (FCSSRs) forms generated between November 16, 1999 and February 15, 2000.
In addition, the auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and found one that reported a strip search. The search was supervised and authorized by a sergeant, and was conducted in a private area, by female officers. The individual searched was a female. The search was conducted based on good probable cause. The bureau is judged to remain in operational compliance on this task.

2 The only officers not yet trained are those on extended medical, or similar, leave, and not performing law enforcement functions.
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Public Management Resources San Antonio, Texas

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

Page 13

2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 15 requires the city to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
The city has conformed to paragraph 15 through development of several related policies, each of which requires a written report any time a police officer performs any of the above-listed actions. In addition, these protocols are supported by specific policies (12-6, Use of Force, 45-2 Warrantless Searches and Seizures, and 45-1 Strip and Body Cavity Searches). Each of these policies stipulates specific reporting procedures that are in conformance with the requirements of the decree, c.f., policies 12-6 @ 6.6, 45-1 @ 5.1, and 45-2 @ 3.1. The Department of Justice has approved these protocols viz. a viz. the decree (Use of Force on August 4, 1997 and Search and Seizure on November 10, 1997) based on the city’s submission on July 16, 1997. The Search and Seizure protocol approval was delayed by discussion between the city and justice regarding specific provisions.
Methodology
The auditor reviewed training records for search and seizure and use of force topics. In addition, a randomly selected sample of Subject Resistance Reports and Field Contact/Search/Seizure Reports was reviewed to assess the level of accuracy of reporting and supervisory review for these reports. A sample of 72 SRRs written on 298 incidents (484 reports) was selected for review, constituting a 14.8 percent sample of all SRRs for the quarter. In addition a sample was selected of 30 of the 420 incidents warranting completion of search and seizure reports prepared by officers of the bureau this quarter.
Training regarding Use of Force reporting was completed during the fourth quarter, and the reporting forms and guidelines have been implemented. Subject
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Page 14

Resistance Reports are being processed by the department, and the day-to-day operation of controlling use of force by PBP officers appears to moving forward.

During the fourth quarter, training for “all officers” in search and seizure policies was substantially completed. As of May 15, 1999, all of the bureau’s 1,040 active-duty officers had been trained in search and seizure policies, except those on extended medical, or similar, leave. All had received a passing score on the content examination given by the training academy.

The average review time for all SRRs and FCSSRs continues to be well within the required seven day period (at around three days), and evidence exists to indicate that the supervisory review is an active review, often requiring additional information, re-writing of reports, or other actions on the part of the originating officer.

In preparation for the tenth quarterly audit, the auditor’s staff reviewed 72 of the 484 SRRs completed by the bureau this quarter, a 14.8 percent sample. None of the 72 SRRs reviewed for this quarter exhibited problems with reporting or review. The “error rate” of zero falls within the required 95 percent compliance rate for critical areas of the decree. The auditor’s staff also selected a nine percent sample of 55 of the 603 reports from the 420 incidents resulting in completion of FCSSRs during the tenth quarter. These reviews indicate that the PBP is requiring written reports of specific police actions, as required by the decree.

Command review of SRRs and FCSSRs remains strong, as evidenced by requests for re-writes, additional information, and counseling and retraining of officers, supervisors and commanders who write or approve faulty reports. During the tenth quarter, the bureau retrained four commanders, three lieutenants, three sergeants, four detectives and ten police officers as the result of incomplete or improper reporting or execution of search or seizure methods.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.6 Assessing Compliance with Task 16: Reporting Traffic Stops

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

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Page 15

Paragraph 16 requires the city to establish reporting requirements each time a police officer makes a traffic stop. The city has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The bureau has begun collecting traffic stop data, using the form designed by the city. These data are available at the Zones, and have been entered into the PARS. The eighth quarter was the first quarter in which detailed assessment of traffic stop information was possible, as the tabular data from the PARS regarding traffic stops was available through the PARS as of this audit cycle.

Methodology

During the auditor’s site visit for the tenth quarter, the auditor conducted a quarterly analysis of PARS data, including traffic stop data, reported both in graphic and tabular form. A total of 21 officers were noted who had traffic stop data which indicated stop rates which were substantially different from their group norms. The vast majority of these officers (18) were officers who made a very small number of traffic stops during the quarter. Officers with few traffic stops have data which is not comparable to larger “group” means. The three officers noted by the auditor who had comparatively large numbers of traffic stops and who were “over mean” for their work group did not have a history of such activity in previous quarterly analyses.

The process of checking traffic stop data requires a comparison of the nonminority/minority ratio of drivers stopped for each officer checked, compared to similar statistics for the officer’s work group. Officers with substantially different “stop rates” than their peer work group are easily identified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the PARS

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 17 requires the city to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels
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Page 16

into the planned automated Early Warning System. The city has developed protocols requiring entry of data as required by the consent decree.

Methodology

The auditor has reviewed these protocols and found them to be acceptable. During his tenth quarterly site visit, the auditor tested data entry protocols by performing 68 individual tests of the system. The PARs and OMS reported accurately in each of these 68 tests.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8 Assessing Compliance with Task 18: Audits of Use of Force

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL
Paragraph 18 requires the city to cause supervisors and senior supervisors to conduct “regular audits” of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.
Methodology
The audit team conducted a random selection of 23 incidents resulting in the completion of 72 “Subject Resistance Reports” (a 14.8 percent sample of reports for this quarter). The policy requires PBP officers to complete a SRR any time they use force to subdue a subject. Each of the reports selected was reviewed to ensure that the:
• Form was properly executed; • Form was reviewed by supervisors and senior supervisors within one week; • Supervisory review identifies problems with the use of force, where
appropriate; and • The review process is being implemented as required by the decree.

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Page 17

Of the 72 SRRs reviewed, based on 23 incidents, all were appropriately reviewed. An error rate of zero is laudatory. More promising, however, is the PBP’s internal command review, established during the eighth quarter, for SRRs. The assistant chief for administration’s staff reviews every SSR completed by PBP personnel, and returns those reports deemed problematic for revision. In addition, officers completing poor reports, or conducting searches or seizures outside PBP policy, are retrained or counseled. Commanders and supervisors who approve problematic reports are counseled, retrained or disciplined by the bureau.

The city is currently assessing Section 18-a of the consent decree, which requires an OMI investigation of use-of-force incidents which result in “serious injury,” which is defined (at 11-f of the decree) as “any injury that results in death or that the city has reason to know requires or results in professional medical care or treatment” (decree, p. 5). Progress has been made in managing the investigative process for use-of-force incidents which result in “serious injury”. Of the 23 incidents reviewed this quarter, only one of the SRR reports reviewed by the auditor indicated that the subject arrested received medical attention at hospital for injuries attributable to police action, other than those attributable to OC spray. OMI selected this injury-related SRRs for review this quarter. Current OMI practice is to select for investigation all SRRs reporting professional treatment at hospitals.

Currently, the city is working to resolve this implementation issue. The reinterpretation of “serious injury” has been agreed to by the parties. New policies are currently being developed. Until this area of the decree is better-defined by written policy, however, the current working definition established by the decree was used to assess compliance.

During the tenth quarter, OMI selected for review one incident resulting in “serious injury” to suspects. Also during the eighth quarter, OMI forwarded one of these cases to the auditor for review. The OMI review was reasonably complete and thorough. The city is judged to be in operational compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

Auditor’s Tenth Quarterly Report March, 2000
Public Management Resources San Antonio, Texas

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Page 18

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. The bureau has completed its third quarterly analysis of use of force data, using the Officer Management System and PARS. The analysis identified use of force trends, as well as focusing on officers who recorded higher than average use-of-force rates. The command staff used the OMS and PARS to identify officers receiving complaints of excessive force, officers who had higherthan average levels of use-of-force rates in any one of the past four quarters, and to assess overall trends in use of force. These assessments became part of the quarterly “Computer Statistical Trend Analysis and Review” (COMSTAR) meeting minutes, along with recommendations for counseling, retraining or other solutions to issues raised with specific officers’ use of force practices. Protocols require follow-up at the next quarterly PCS meeting to evaluate the effectiveness of these solutions.

Methodology

Using the PARS/OMS system, the auditor identified, during the tenth quarterly audit, 27 officers whose use of force statistics (or associated activity levels) were substantially higher than their group norms, and who, in the auditor’s opinion, required further scrutiny. All zone commanders checked subject resistance report data as part of their routine quarterly analysis, and all 27 of the officers identified by the auditor were also noted by zone commanders. The process of checking use of force data requires a complete PARS/OMS review, including actually pulling paper reports, for all officers who score one or more standard deviations above their work group norm in reporting use of force. Officers with substantially different “use of force rates” than their peer work group are easily identified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page 19

2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-a requires the city to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.

Methodology

During the tenth quarter, the bureau completed 603 reports of field contacts or search and seizure activity, based on 420 incidents requiring an FCSSR. The auditor selected random sample of 55 FCSSRs completed during the tenth quarter . Each of these reports was analyzed to ensure the report met the requirements of task 19-a.

Further, each of the 55 selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the 55 reports was assessed, and supporting documentation, where available, was reviewed.

Of the 55 reports reviewed, none were judged to be problematic. The error rate for FCSSRs for the tenth quarter is zero. This is attributable, in part, to the internal review process established by the bureau, which, last quarter, returned 320 FCSSRs for corrections, most on minor issues. The bureau, during the tenth quarter, has retrained or counseled four commanders, three lieutenants, three sergeants, four detectives and ten police officers as the result of incomplete or improper reporting or execution of search or seizure methods. The bureau remains in operational compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Apr 97 Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

PRIMARY SECONDARY OPERATIONAL

Paragraph 19-b requires the city to analyze the search and seizure activity of its officers on a quarterly basis.

Methodology

The auditor has reviewed protocols and policies for search and seizure reporting. Training and implementation are completed. The PARS is now operational, and has been used for the past two quarters to review bureau performance in the area of field contacts and search and seizure. Command staff used search and seizure data, generated by PARS, to assess officers’ performance, identifying officers who were above average in this category. These officers were noted to be of two types: those who were active in search and seizure processes, but whose reports indicated no problematic behavior, and those whose activities indicated additional training, counseling, or supervision. The command staff selected the first group of officers for potential commendation, and the second group for potential remediation.

Overall, PARS data showed an increase in the number of search and seizure reports completed by PBP operations personnel during the fourth quarter of the reporting year (the quarter most closely matching the date range of the tenth quarterly report of audits of performance).

Using the PARS/OMS, the auditor identified 42 officers whose FCSSR data indicated a need for further scrutiny. All of the zone commanders reviewed each officer under their command whose FCSSR data exceeded work group norms by one or more standard deviation. This review included a thorough review of both electronic data, and a review of actual FCSSRs completed by these officers. The command staff review noted each of the 42 officers earlier identified, independently, by the auditor as indicating a need for further scrutiny.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page 21

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 20-a requires the city to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial or gender bias. During the ninth quarter, one allegation of gender bias on the part of bureau officers were completed by OMI, and forwarded to the bureau for review during the tenth quarter. The bureau reviewed and acted on the allegation, counseling and retraining a sergeant regarding gender-based decision making.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias

Apr 97 Q1

Q2

Q3

Apr 98 Q5

Q6

Q7 Q8

PRIMARY SECONDARY
OPERATIONAL
Paragraph 20-b requires supervisors to use the PARS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. The bureau, during the week of August 2, 1999, developed a specific protocol for quarterly analysis of potential indicators of racial bias. The protocol requires the command staff to review an officer’s complete PARS file if any of eight events involving the officer occur during any given quarter.
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Page 22
These events include:
• Notation on the Supervisor’s Daily Activity Report (SDAR) of any indication of racial or gender bias on the part of a given officer;
• A complaint by a supervisor of racial or gender bias against an officer; • A peer compliant of racial or gender bias; • An OMI complaint of racial or gender bias; • Filing of a lawsuit, in which the officer is named, contending racial or gender
bias; • Any indication, during a normal review of routine police reports (offense
reports, arrest reports, search and seizure reports, subject resistance reports, etc.) that an officer indicates potential racial or gender bias; • Comments made by an officer indicating racial or gender bias; or • A non-OMI complaint of gender or racial bias.
During the week of August 2, 1999, the command staff updated the protocol for quarterly analysis of potential racial bias. The protocol requires the command staff to review an officer’s complete PARS file (use of force, search and seizure, discretionary arrests and traffic stops) if any of eight specific events (noted above) involving the officer occur during any given quarter.
The quarterly analysis conducted by command staff during the week of February 21, 2000 identified seven officers with at least one of these “trigger” events, either in the tenth quarter, or in a “continue to monitor” status resulting from a trigger event in previous quarters. In addition, all command personnel reviewed use of force and search and seizure data, reported in PARS, for all of their personnel indicating activity levels one or more standard deviations above their work group norms in these areas
In each of the seven cases noted by the auditor as requiring additional scrutiny, the command staff reviewed the officers’ entire OMS/PARS files, and recommended appropriate remedial or supervisory measures. Unfortunately, however, with only one exception, each of these complaints remains open, pending OMI completion of the investigation surrounding the allegations. In addition, all zone and unit commanders conducted a thorough and perceptive review of officer activity in the areas of use of force, and search and seizure, pulling and reviewing paper file reports of use of force and search and seizure activity for officers indicated as one or more standard deviations above the mean in either category. The bureau is judged to be in operational compliance with the requirements of task 20-a.
Continuing steps are being taken to move responsibilities for this type of review to the supervisory ranks of sergeant and lieutenant, in addition to the
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Page 23

responsibilities currently assigned to the command staff. Continued compliance is dependent upon satisfactory performance of sergeants and lieutenants as they review OMS/PARS data on the officers under their command, and respond reasonably to indications of potential problems and indicators of superior performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 21-a requires the city to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a three-year period, or five or more complaints in a two-year period.
Methodology
The auditor reviewed all discipline imposed by the bureau for the tenth quarter. Based on records obtained from the office of the chief of police, 26 individual disciplinary actions were taken by the bureau during the period of time covered by this report. Of these 26, only two involved citizen complaints or interactions with citizens. Disciplinary actions for those two incidents were taken during this quarter. The auditor reviewed all disciplinary actions reported for the tenth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline. For example, departmental discipline included:
• A one-day suspension and remedial training for conduct unbecoming a member or employee;
• A three-day suspension and remedial training for neglect of duty.
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Page 24

In addition, the bureau has taken aggressive disciplinary action based on inappropriate officer behavior that it has discovered through its own supervisory processes. These actions included:
• A five-day suspension pending termination for neglect of duty;
• A two-day suspension for conduct unbecoming a member;
• A three-day suspension for failure to obey orders; and
• A five-day suspension pending termination for filing a false police report.

Based on the protocols of progressive discipline, the bureau is responding within its anticipated range of responses in delivering discipline.

As noted in Section 2.35 below, the Bureau has been taking consistent action with officers who receive three “similar” citizen’s complaints in a three-year period, or five citizen’s complaints of any nature in a five-year period. The Bureau protocol calls for a “Preliminary Complaint Review” to be conducted with officers meeting either of these trigger thresholds. Each quarter, for the past 10 quarters, the on-site audit has included an on-site assessment of performance files at the zones (randomly selected each quarter). Part of this on-site audit at the zones is to ensure that officers who have met the three-in-two or five-in-two thresholds are processed appropriately.

With the exception of the fifth quarterly report, the Bureau has been in compliance with the requirements of the decree in dealing appropriately with officers exhibiting citizen complaints in excess of the numbers stipulated. That compliance continues this quarter, as confirmed by a zone audit at zone two. A review by the auditor noted three officers in this zone meeting the three-in-two or five-in-two threshold. Each of these officer’s performance files in the zones included a Preliminary Complaint Review form noting a supervisory review, with the officer, upon the officer reaching the complaint threshold. In addition, all of the zone commanders who had officers meeting the three-in-two or five-in-two threshold noted these officers during the quarterly PARS/OMS analysis.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

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March, 2000

Public Management Resources

San Antonio, Texas

Page 25

PRIMARY
SECONDARY OPERATIONAL
Paragraph 21-b requires the city to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on review of officer behavior.

Methodology

The auditor reviewed the bureau’s disciplinary processes for the November 16, 1999 to February 15, 2000. The bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the bureau included retraining, counseling, one-on-one discussions with the legal advisor, and other appropriate forms of “retraining” and “counseling.” No incidents of assigned discipline related to a requirement for counseling in response to a sustained citizen’s complaint.

As important as these disciplinary actions are in maintaining bureau professionalism, they are supported by an active retraining, counseling and documentation process for inappropriate or erroneous reporting of search and seizure and use of force data. During the tenth quarter, the department has counseled or retrained ten police officers, three detectives, three sergeants three lieutenants, and four commanders regarding proper articulation and assessment of probable cause, making traffic stops in unmarked vehicles, or articulation of “reasonable suspicion.”

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.2 Compliance with Task 21-c: Consider Prior Record in Determining Discipline

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Page 26

Paragraph 21-c requires the city to consider an officer’s prior record in determining discipline.

Methodology

According to records provided by the bureau and the Office of Municipal Investigations, 26 individual disciplinary actions were taken by the bureau this quarter. Each of the 26 disciplinary actions taken by the bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. None of the disciplinary actions taken this quarter indicated a modification to discipline based on past record. However, given the bureau’s previous performance in this area the bureau is deemed to continue, absent evidence to the contrary, in operational compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY
OPERATIONAL
Paragraph 22 requires the PBP to establish disciplinary action files, or “performance files” at the zone level.
Methodology
The audit of the “performance files” at the zone levels for this quarter consisted of assessing both electronic and paper files. Officers’ electronic files were assessed at one zone this quarter, zone two, to determine if any of the officers had, in the last quarter, received a sufficient number of citizens’ complaints, disciplinary actions, etc. to require new entries in their performance files. The electronic review, using the on-line Officer Management System indicated that zone two had eight active officers each who would have been required to have updates made to their performance files this quarter. All of the officers’ files were found to have had the appropriate updates made in their performance files. In addition, five other officer’s files were reviewed for accuracy during this assessment. All were found to be substantially accurate.
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Page 27

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual

Performance Evaluation

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 23 requires the city to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

The bureau has developed a performance evaluation policy which meets the requirements of the decree, and which was approved and disseminated in April, 1998. Training regarding the performance evaluation system has been completed. The third wave of performance evaluations was completed in June, 1999, and the fourth wave was completed in December, 1999. During the course of its review of zone two, the audit team reviewed selected officers’ files for the presence of completed performance reviews. All of the officers’ files were found to be complete, with performance review documentation present in each. Documentation available in the files at the zone, and in other files maintained by the PBP, indicate that the performance files are used by supervisors, and that problematic performance is discussed with individual officers.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY

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Page 28

SECONDARY OPERATIONAL

Paragraph 24 requires the city to use performance evaluations as a factor in promotional decisions.

Methodology

The bureau has developed a performance evaluation policy which meets the requirements of the decree, and the policy was implemented in June, 1998. The bureau promoted 17 individuals during the fifth quarter, and each of their performance evaluations was reviewed. No remarks, actions or characteristics were found in any of the 17 files that would have indicated inappropriate decisions were made in any of the promotions. No promotions were made during the tenth quarter. The bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY

Paragraph 25 requires the city to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.
Methodology
The auditor’s team visited one randomly selected unit location (zones two) to assess the degree of compliance with paragraph 25. During the site visit, the auditor conducted walk through inspections of zone facilities such as bulletin boards and office space.

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Evidence exists to support the bureau’s operational compliance with paragraph 25. Past reviews of zone “performance files” indicate that the EAP is being used by departmental personnel and departmental managers. Bureau discipline continues to use the EAP as part of its progressive discipline campaign. Departmental policy requires the posting of EAP flyers at each of the zone stations. At the zones visited, the flyers were readily visible in the station. One DAR reviewed this quarter involved an officer who violated his “Track III” EAP agreement.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.16 Compliance with Task 26: Notification of Adverse Involvement

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY

Paragraph 26 requires the city to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the city to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.
Methodology
During the auditor’s review of departmental personnel files, the files were assessed for evidence of implementation of PBP Policy 44-5, effective 8-25-97, which requires notification of the chain of command any time:
• A warrant is to be served on a member of the service; • A protective order is to be served on a member of the service; • An on-scene arrest is made of a member of the service; • An officer is arrested by another agency other than the PBP; or • An officer of the service is the subject of a civil suit.

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A review of Bureau records indicates that the bureau continues to monitor its officers’ activities for adverse involvement.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
Secondary
Operational
Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.

Methodology

The bureau has established an agreement with the district attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearings lost as a result of illegal activity. Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum “detailing the results of the hearing.”

PBP policy calls for these memoranda to be forwarded to OMI for their review. Based on concerns expressed by the auditor that the DA’s office has forwarded no notifications of lost suppression hearings, etc., the chief of police has modified the reporting practice between the district attorney and the bureau. Court liaison personnel have begun to specifically inquire monthly, about lost suppression hearings, and allegations of false arrest or improper searches on the part of PBP officers. During the tenth quarter, three such inquiries were made of the DA’s staff. The auditor reviewed reports of these inquiries, which noted no lost suppression hearings due to poor probable cause, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
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2.18 Compliance with Task 28: Settled Litigation

Sanctions for Officers Involved in

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY Operational
Secondary
Paragraph 28 requires the city to implement appropriate discipline “as the circumstances and OMI investigation warrant,” in all instances in which PBP officers are the subject of civil litigation.

Methodology

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation settled litigation noted during the tenth quarter. November 16, 1999 to February 15, 2000. During the sixth quarterly audit, the department received notification of settled litigation involving two Bureau officers. During the seventh quarter, this case was reviewed by command staff, and disciplinary action was taken in April, 1999. It is clear from the review that the department continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONA
L
Paragraph 29 requires the city to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.
Methodology

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The auditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the bureau, publishing legal bulletins, ten during the tenth quarter, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.20 Compliance with Task 30: Develop a Rotation Schedule

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP has developed a personnel rotation plan, and has implemented the first phase of the plan during the second quarter. The plan, supported by Chief’s Memo 97-550, transferred 94 officers to new duty assignments during the quarter. The cycle of consent-decree transfers scheduled for January, 2000 was implemented effective January 10. As of the tenth quarter, the chief of police has distributed transfer notices for another 94 officers, sergeants, and lieutenants.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Apr 97 Jul

AOucdt itor’JsanTe98nth QAuparrterlyJRuleport Oct Jan 99 Apr March, 2000
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PRIMARY SECONDARY OPERATIONAL
Paragraph 31 requires the PBP to “make every effort” to participate in community meetings, including those oriented toward minority groups.

Methodology

The auditor reviewed monthly attendance logs for police zones for the months of November 16, 1999 through February 15, 2000. The logs show multiple community meetings attended by PBP personnel. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the city to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.
Methodology
The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. The city continues to air television “spots” highlighting the function and process of the Office of Municipal Integrity. The city has also printed a brochure explaining the OMI function and has distributed the brochure to all of the city’s community organizations and placed these brochures in all city buildings.

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Members of the audit team noted the presence of these brochures at the zone visited (zone two) during the site visit for the tenth quarterly report.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 33 requires the city to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.
Methodology
The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted two site-visits of the training academy, and have interviewed many of the personnel assigned to the training academy. The bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 1999, the bureau has continued to train its officers in the topics of cultural diversity, “effective communication” and ethics. To date, according to the training academy’s records, all but eleven bureau personnel have received training in cultural diversity for the 1998-99 training cycle. As of the last training offered in February, 2000, all but 30 of the Bureau’s officers had received the training.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY

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Page 35

SECONDARY OPERATIONAL

Paragraph 34 requires the city to establish monitoring systems which will assess citizens complaints for indicators of needs in training or re-training. The bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.

Methodology

In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports.

It is clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the eighth, ninth and tenth quarters, training academy staff completed a review of citizens complaints and use of force reports with the aim of improving, where applicable, training curricula. Reports from the academy continue to be reviewed, assessed and critiqued by command staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 35 requires the city to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de-escalation training “into all other training that implicates the use of force.”

Methodology

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Page 36

The city and the bureau continue to make progress toward compliance with this task. The city is currently under contract with a nationally recognized consultant to deliver a series of classes on “verbal judo,” a process of verbal de-escalation which is recognized nationally as effective in reducing police-involved violence. To date, the bureau has trained all but one of its 1,040 eligible officers (with the exception being those on extended medical or similar leave, and thus not performing police duties) in “verbal judo” and/or tactical communications.

The bureau-wide process of reviewing all use-of-force curricula has been completed, and a new “use of force” training curriculum has been implemented by the bureau. All but 270 (25.9 percent) of the bureau’s sworn personnel have been through the new curriculum. Based on plans to complete the “cycle” for the new curriculum in use of force, the bureau remains in compliance with this task.

The “neck restraint” method trained previously has been replaced with a more reliable and effective maneuver, and this process has been classified—appropriately—as deadly force. These changes have been incorporated into PBP policy through the training process, and a new continuum of control has been disseminated as part of the bureau’s policy dissemination process, effective the 10th quarter. As of the ninth quarterly audit, the auditor has noted a significant drop in the occurrences of one problematic use of force maneuver, the “chokehold to recover narcotics.” All of these factors are related to the new “integrated training” processes identified by the bureau—standardizing all training components related to use of force, such as verbal de-escalation.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY OPERATIONAL
Paragraph 36 requires the city to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation “at the beginning of the training curriculum to serve as a foundation for all other classes The recruit curriculum offered “ethics” training and “verbal judo” in week one, and cultural diversity in
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Page 37

week two. Additional training in weeks 21 and 23 cover additional topics in cultural diversity and verbal judo. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 37 requires the city to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the bureau’s curriculum outlines for cultural diversity and ethics. According to academy records, all but five of the department’s sworn personnel have received training in ethics through the bureau’s new “career and personal survival” training component. The bureau has contracted with a nationally-recognized provider of training in police ethics, and has substantially revised the curriculum for the 2000 calendar year. The latest ethics training was conducted as part of the State of Pennsylvania’s mandatory training cycle.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 38 requires the city to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

Based on a review of the training records, the department has trained approximately 100 percent of its officers in the OMI process, with the exception of officers who are one extended leave.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.29 Compliance with Task 39:

Encourage Qualified FTO

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 39 requires the city to recruit “highly qualified” Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the city to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.
Methodology
The bureau is currently planning the addition of nearly 40 new FTOs. Discussion at the last quarterly COMSTAR meeting addressed methods for ensuring that quality FTOs are recruited, trained and deployed. The bureau remains in compliance with this task based on past performance. The auditor was unable to review FTO personnel files during this quarter’s site visit to ensure that all new
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FTOs are “highly qualified.” This review will be conducted during the 11th quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40:

Train all FTOs and Instructors

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 40 requires the city to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the city require FTOs and instructors to “demonstrate on a regular basis, their proficiency in their areas of instruction.”
Methodology
The auditor reviewed the training curriculum for FTOs and instructors provided by the PBP. All instructors and FTOs are first “instructor development certified” by either the Federal Bureau of Investigation or Indiana University-Pennsylvania. FTOs then receive an additional five days of training at the PBP Academy for specific FTO-related topics. The specific provisions of paragraph 40 requires “demonstration on a regular basis…[of] proficiency in their areas of instruction.” The Police Bureau requires a formal assessment, using two forms specifically designed for evaluation, of the FTOs. The first (“Field Training and Evaluation Program—FTO Critique Form) is a two-page evaluation completed by field trainees. The form evaluates FTOs relative to the trainees’ assessment of the FTO’s ability, interest, knowledge, skill, ability to communicate, and fairness. The aggregate data collected through this process is shared with the FTO by the Academy commander. In addition, the PBP assesses FTOs by requiring their supervisors to complete an evaluation form (Field Training and Evaluation Program—FTS Critique Form). This form requires supervisors to rate FTOs on their skill as a trainer, their ability to communicate, their fairness, promptness, and attendance. These data as well are shared with the FTO.
In addition, the Academy tests for all consent-decree and state mandated training classes. The Academy evaluates instructor proficiency through these test scores, assuming that effective instructors produce students who can pass
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Bureau and State exams. The process of testing for all consent decree-related training is relatively new; however, during the fifth quarter, more than 1,000 exam scores were reviewed by the auditor. The vast majority of test scores of PBP personnel were in the 85-100 range (of a possible 100). The examinations that the auditor reviewed indicated a close correlation between the instructor’s syllabus and the exams. Further, a review of the examinations indicated that they are substantive and not, on their face, overly simple or easy to pass.

During the audit for the ninth quarter, the auditor conducted a second site visit at the training academy, and randomly pulled training documentation files for police instructors. A comprehensive assessment was also conducted of records documenting training processes at the academy for the last twelve months. All instructors’ files assessed were found to be in order, with one exception. While the documentation supporting one instructor’s training and certification in defensive tactics was not found in the instructor’s files, it was located elsewhere in academy files. The academy file was instantly updated by academy staff. The bureau remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 41 requires the city to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”
Methodology
The auditor conducted a thorough ninth-quarter review of the Academy’s training records during a site visit to the Academy. Selected training curricula were assessed, and specific documents were selected for further analysis. This included training records for state-mandated and consent decree-related training. These records now appear to be up to date and complete. The records are kept in useable format, and are managed by a sworn officer, adept in manipulation of
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Page 41

the database, and capable of generating ad hoc reports. The records currently can generate reports by officer, training topic, hours, date and test score.

Changes to the Academy’s record-keeping processes continue to evolve. In addition, this quarter’s assessment shows the records to be free from error, and to exhibit a “living” quality, i.e., they are updated frequently, and are subjected to error checking and correction processes. The Academy currently forwards training records to the auditor electronically. The bureau continues to be in compliance with this task. A review of new training curricula and syllabi during the tenth quarter indicates continued adherence to national standards regarding documentation of the training process.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42:

Document Mandatory Counselings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 42 requires the city to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of data for the tenth quarterly report, the department’s centralized file that is used to document mandatory counselings was reviewed. Twenty mandatory counseling sessions were ordered this quarter for PBP personnel. Counseling and retraining was documented on the following topics:

• Procedure and evidence; • Informants; • Probable cause, arrest, search and seizure; • Firearms handling; • Court appearances; and • Race and gender sensitivity.

Status:

Primary:

In Compliance
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Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Training

Annual Supervisory and Leadership

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 43 requires the city to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.
Methodology
The auditor assessed the training records for PBP senior supervisors (commanders and above). Command staff continue to receive training in integrity, command accountability, and cultural diversity through a series of courses offered by the training academy and the “POLEX” program.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.34 Compliance with Task 44: OMI Quality Assurance

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8 Q9 Q10

PRIMARY SECONDARY OPERATIONAL

Paragraph 44 requires the city to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.
Methodology

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The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available for OMI investigations from 1986 through 1999. Using this database, records of complaints for individual officers can be easily identified; however, assessment of complaint history on a routine basis, for all officers, is cumbersome and difficult. As of September 1, 1999, the OMI manager, the intake coordinator and one investigator have been trained in the new PARS program.

Given several innate weaknesses in the OMI database, the system is currently being re-written, transitioning it into a more suitable management tool. The audit team met with representatives of CIS during the February site visit and discussed plans for revision of the OMI management information system. The auditor reviewed the prototype of the new system during the February site visit, and has found it to be an acceptable response to the requirements of this section of the consent decree. Additional changes are being made to the proposed systems, based on a review by OMI staff. No new projected date for bringing the system on-line has been released.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 45 requires the city to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.
Methodology
The auditor has reviewed Chief’s Orders 97-009 and 97-024 which established the zone “performance files.” These orders required the creation of disciplinary
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files at the zone level which “contain all OMI and non-OMI complaints that have been filed against the officer,” (CO 97-009). CO 97-024 requires that performance files “shall be available to personnel within the officers’ chain of command … responsible for the officers’ training, counseling, or discipline.”

The PBP continues to provide access to police officers’ files in an area of each zone station house which is accessible to sergeants and lieutenants working evening and night turns.

All three officers at zone two who had received three complaints of a similar nature in the past two years or five complaints within the last two years were appropriately noted in the performance files. Performance files also contained copies of appropriate performance evaluations, commendations, Supervisor’s Daily Activity Reports, and preliminary complaint review forms. The bureau remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
OPERATIONAL
SECONDARY
Paragraph 46 requires the city maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the city to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be “identical” to that received by OMI police investigators. The paragraph further requires that the city make the OMI manual available for inspection at PBP facilities and at the OMI office.
Methodology
The auditor reviewed the OMI manual, as promulgated on December 1, 1997, for revisions and assessed OMI training documents. In addition, the auditor reviewed training records for OMI personnel. Records provided by OMI indicate that all new civilian OMI investigators have received on-site training during the
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tenth quarter, and the office continues to implement its training plan for investigative personnel. All OMI investigative and management personnel will attend the “Ethics and Values,” “Verbal Judo,” and “Cultural Diversity” training currently being offered by the training academy to police recruits.

The Office is undergoing rapid change—both in the nature and number of personnel and in organizational structure. It should exercise care to ensure that any training needs identified for its new and current personnel are met by assigning them to additional appropriate components of the recruit class, including use of force training, defensive tactics training, and legal training, as per the requirements of the consent decree. The consent decree requires OMI investigators to be trained in: “use of force, searches and seizures, pursuits, transporting individuals in custody, restraints, arrests (including discretionary arrests), traffic stops, racial bias, report writing, and other relevant policies and procedures; investigative and interview techniques; cultural sensitivity; ethics, integrity, professionalism and the missions and values statement.”

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47:

Receipt of Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 47 requires the city to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.
Methodology
The auditor reviewed 15 of 26 final reports of completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were “required” to complete any OMI form prior to receipt of the complaint and initiation of the investigation.
The revised OMI manual was assessed to determine levels of compliance with the stipulations of paragraph 47 and the consent decree. The OMI manual requires that complaints will be received via telephone, facsimile, mail, or in
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person, as well as anonymously. Revised OMI form 103-97 includes a checkbox for each receipt method. Further, the auditor assessed completed OMI complaint investigations to determine if complaints were being received in accordance with the decree.

Evidence was available in the completed investigations to indicate the particular method by which complaints were being received. In the investigations reviewed by the auditor, ample evidence existed of receipt of complaints via telephone, letter, in-person and from third-party complainants..

Completed investigations were reviewed for any indication of requirements for complainants to complete forms prior to initiation of an investigation. None of the 15 files reviewed included any form completed by a complainant.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 48 requires that the city accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

Completed OMI complaints were assessed for the source of the complaint. No anonymous complaints were resolved this quarter—it is rare for the office to receive anonymous complaints. However, one anonymous complaint was resolved during the eighth quarter. That complaint was investigated thoroughly and completely. The city is judged to be in operational compliance with task 48.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.39 Compliance with Task 49:

Closure of OMI Investigations

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. During the ninth quarterly review, the auditor found eight complaints filed with the Office of Municipal Investigations which were either “officially” withdrawn by the complainant filing the complaint, or in which the complainant refused further cooperation with the Office. All of these complaints were investigated to completion by the Office. No “withdrawn” complaints were noted during the tenth quarter. Based on past performance, the office remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 50 requires the city to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the city publicize the new OMI location.
Methodology
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Page 48

During the second quarter, the auditor verified that OMI had been relocated, and assessed the relocation as meeting the requirements of the decree. The only element precluding operational compliance with section 50 of the decree, at that time, was lack of “notice” to the public of the relocation. During the auditor’s site visit for the fourth quarter’s audit, the level of notice of the relocation was assessed. The city has taken proactive steps to publicize the location or function of OMI since the last quarter. A public-access video has been aired detailing the Office’s new location, and brochures have been printed and distributed noting the Office’s new location. These brochures were available at all city buildings visited by the auditor this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 51 precludes the city from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the city to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The city is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings “in all city buildings.”
Methodology
The auditor reviewed supporting documentation for 15 of the 26 citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a city facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes, over the telephone, and by meeting individuals at locations convenient to them. Of the 15 cases reviewed this quarter, evidence existed in three cases suggesting that the Office routinely makes itself available to citizens “in the field,” either at alternative sites, the complainant’s home, or over the telephone. The auditor reviewed attendance logs for OMI’s
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quarterly meetings (November 16, 1999 through February 15, 2000), and reviewed the newly revised OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings.

The quarterly attendance logs indicate that OMI personnel have conformed to the requirement to attend quarterly meetings. While they offer to take complaints at these meetings, according to staff, no such complaints have been registered or investigated. The OMI manual, at section 4-1(B) stipulates that “OMI also accepts complaints during quarterly, off-premises meetings in rotating zones.” This quarter, the city advertised zone meetings in city buildings, and provided copies of publicity notices used to publicize the OMI quarterly meetings in city buildings. Further, the brochures printed by the city and the video completed and aired to all cable recipients, provides further information regarding identifying the location of zone meetings (by providing a contact name and a telephone number).

While no logs were provided to ensure that “all city buildings” had posted notices of zone meeting dates, time and locations, the use of the OMI public-access video, coupled with the printed OMI brochure, gives, in the opinion of the auditor, ample notice allowing those interested to attend zone meetings. Further, it should be noted that each city facility the audit team visited this quarter had the OMI brochures prominently displayed in public areas. OMI personnel continue to attend meetings of the civilian review board.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY
OPERATIONAL
Paragraph 52 requires the city to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.
Methodology
The auditor tracked the paper trail from OMI to zone-level senior supervisors, and for evidence at the zone level of notification from OMI of use of force, improper
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search or seizure or racial bias. OMI does issues monthly reports identifying officers complained against, the type of complaint and a brief narrative. These reports are forwarded to the Chief of Police, and the Deputy Chief for Operations, and through them to the zone commanders. In addition, any complaint alleging racial bias is automatically forwarded to the Human Relations Commission (although this process is not treated in the new OMI manual). Each quarter, OMI sends updated complaint listing to each zone commander, listing all civilian complaints filed against personnel in each zone.

During this quarter’s site visit, the auditor was able to track a “paper trail” of notice to senior supervisors of complaints filed by citizens, noting dissemination of quarterly and monthly OMI reports to senior supervisors of the bureau of Police. In addition, notice is sent to each zone, and filed in the zone performance file, of OMI investigations of allegations against officers assigned to the zones. This includes all allegations, including those of improper use of force, search and seizure and racial bias. During the site visits at zone two, the auditor reviewed the zones’ performance files and found them to be accurate and in order. The bureau is deemed to be in operational compliance for task 52.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation

Responsibility for Complaint

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 53 requires the city to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to “settle” OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.
Methodology
The auditor reviewed the OMI manual for sections relating to paragraph 53, interviewed OMI personnel, and reviewed OMI case files for any indication of incompleted or “withdrawn or settled” OMI cases. Section 2-1 of OMI’s new manual charges OMI with jurisdiction to “investigate all personnel of any
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department of the city of Pittsburgh...” and specifically notes the departments over which OMI has investigative authority, including the PBP. A review of all 26 of the completed OMI investigations for this quarter reveals no evidence to indicate that the city does not remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Number on Request

Officers to Provide Name and Badge

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, “Conduct Toward the Public” requires that “when requested by any person, a member shall give his name and badge number in a courteous manner.”

Methodology

The auditor reviewed a sample of completed OMI cases for the tenth quarter (November 16, 1999 through February 15, 2000) to determine if allegations of failure to provide name and badge number were made to OMI. No such allegation was found. The bureau did sustain one allegation of failure to provide name and badge number during the sixth quarter, however. The bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.45 Compliance with Task 55: Alternative Sites

Interview of Complainants at

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants “off-site,” if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted “off site.” Among the 26 completed investigations assessed during this quarter, ample evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough (two) to indicate that these interviews were a normal practice for the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: Interviews

OMI to Tape and Transcribe

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept “special reports” in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

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The OMI manual stipulates a “Tape Recorded Statement Form” and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed 20 of 31 cases completed this quarter by OMI, based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases in which interviews were conducted after resolution of the Fraternal Order of Police’s “test case” on this issue included transcriptions of OMI interviews of officers, witnesses or complainants.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57:

Apr 97 Q1

Q2

OMI Staff Access to PARS

Q3 Apr 98 Q5

Q6

Q7 Q8 Q9

PRIMARY SECONDARY OPERATIONAL

Paragraph 57 stipulates that OMI staff should be provided access to the city’s PARS. The manager of OMI, the intake coordinator and one investigator have been trained in the use of the PARS. The office currently has virtually unlimited access to OMS/PARS to prepare complaint histories, assignment histories, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.48 Compliance with Task 58:

OMI to Interview Supervisors at

Scenes of Incidents Leading to Allegations of Misconduct

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

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Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

As noted in the first auditor’s quarterly report, the OMI manual contains language concerning the need to interview senior supervisors and supervisors; its revised version requires OMI investigators to determine the supervisors’ “handling of … situation[s] during and after the alleged incident[s]” and their “observations of the complainant[s] and the accused officers.”

Further, OMI case reports which were reviewed were assessed for any evidence that the investigator had attempted to locate any potential supervisors at the scene. None of the 15 cases reviewed during the tenth quarter produced an indication that supervisory personnel were present. Based on past performance, however, the office is deemed to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59:

OMI to Canvass for Witnesses

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7 Q8 Q9 Q10

PRIMARY SECONDARY OPERATIONAL

Paragraph 59 requires OMI to canvas the scene of an incident for witnesses “as soon as possible” after receiving a complaint where canvassing could “reasonably yield” additional information.
Methodology
The auditor reviewed the OMI manual, Section 6-1G, which requires neighborhood canvasses, “as soon as possible” after receiving a complaint. Case tracking forms also include a “check off” box for witnesses located through the canvassing process.
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The auditor reviewed 15 of 26 completed OMI cases for the tenth quarter (November 16, 1999 through February 15, 2000) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Two of these cases appear to involve fact situations or locations in which a canvass would potentially produce witnesses. An effective canvass was conducted in one of these cases. In the second case, an inquiry determined that the individual who may have witnessed events complained about had relocated out-of-state and could not be located.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60:

OMI to Review Police Shootings

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the ninth quarter and found none (except cases involving the destruction of injured animals). The Office is judged to have remained in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: Allegations of Misconduct

OMI to Aggressively Investigate

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

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Public Management Resources San Antonio, Texas

Q7 Q8 Q9 Q10

Page 56

PRIMARY SECONDARY OPERATIONAL
Paragraph 61 requires that OMI investigators “aggressively” investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed 15 of 26 OMI investigations completed from November 16, 1999 through February 15, 2000, to assess the level of compliance with paragraph 61.

The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting. Of the 15 investigations reviewed, additional investigative work is necessary on one case. This case is described below.

• AQR 10-P, a case alleging excessive force, conduct unbecoming, and other charges, in which two separate witness canvasses were conducted, and two witnesses were located. The investigative report, however, apparently ignores information obtained from a witness located through one of the canvasses which indicates that one officer engaged in threats and intimidation and used profanity during the arrest in question. While a witness canvass was conducted in two locations, and two witnesses were located, a third potential witness was not located and interviewed.

Withdrawing compliance based on an apparent failure in one case of 15 investigated, while technically supportable (it constitutes a six percent failure rate), is not within the spirit of the decree, in the auditor’s opinion. The office should redouble its efforts, however, to ensure that continued problems in this area are found at the managerial level and eliminated from the office’s investigative process. This is the second quarter in a row in which the investigations completed by the office appeared to need additional work. Any failures next quarter in substantive areas, should, fairly, result in findings of noncompliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.52 Compliance with Task 62: Four Corners”

OMI to Act on Behavior “Outside the

Apr 97 Q1 Q2 Q3 Apr 98 Q5 Q6 Q7 Q8 Q9 Q10

PRIMARY SECONDARY OPERATIONAL

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled “outside the four corners” of the original complaint.

Methodology

The auditor reviewed the OMI manual for reference to the requirement to note conduct “outside the four corners” of the complaint which violates departmental policy or procedures. The OMI manual refers to such complaints as “collateral misconduct,” and stipulates in Section 6-8 that “if, during the course of an OMI investigation, an OMI investigator has reason to believe that … collateral misconduct [occurred] the investigator must investigate and make findings with regard to such collateral misconduct.”

Of the 15 investigations assessed for the tenth quarter, one involved potential allegations of “collateral misconduct” which was not investigated by OMI. In one case (AQR 10-P) an independent witness noted that the officers involved in the case cursed at bystanders and threatened to arrest them for no apparent reason. No indication in the case file suggested that the office focused on this apparent violation of policy.

Withdrawing compliance based on an apparent failure in one case of 15 investigated, while technically supportable (it constitutes a six percent failure rate), is not within the spirit of the decree, in the auditor’s opinion. The office should redouble its efforts, however, to ensure that continued problems in this area are found at the managerial level and eliminated from the office’s investigative process. This is the second quarter in a row in which the investigations completed by the office appeared to need additional work. Any failures next quarter in substantive areas, should, fairly, result in findings of noncompliance.

Status:

Primary: Secondary:

In Compliance In Compliance
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Operational: Not in Compliance

Page 58

2.53 Compliance with Task 63: OMI to Issue Final Reports

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.

Methodology

The auditor reviewed final reports of all 26 investigations completed by OMI between November 16, 1999 and February 15, 2000. In addition, the auditor reviewed supporting documentation for 15 of the 26 reports issued this quarter. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. One of the 15 final reports completed this quarter contained several forms of reporting or investigative error (see section 2.51, above). The office should redouble its supervisory and managerial screening of OMI investigations to ensure that final reports address all aspects of alleged and “collateral” misconduct.

Withdrawing compliance based on an apparent failure in one case of 15 investigated, while technically supportable (it constitutes a six percent failure rate), is not within the spirit of the decree, in the auditor’s opinion. The office should redouble its efforts, however, to ensure that continued problems in this area are found at the managerial level and eliminated from the office’s investigative process. This is the second quarter in a row in which the investigations completed by the office appeared to need additional work. Any failures next quarter in substantive areas, should, fairly, result in findings of noncompliance.

Status:

Primary: In Compliance Secondary: In Compliance

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Operational: In Compliance

Page 59

2.54 Compliance with Task 64: OMI to be Adequately Staffed
Apr 97 Q1 Q2 Q3 Apr 98 Q5 Q6 Q7 Q8 Q9 Q10

PRIMARY
SECONDARY
OPERATIONAL
Paragraph 64 requires the city to provide OMI with “sufficient staff, funds and resources to perform the functions required” by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree, is relatively easy to define: the Office is adequately staffed when the number of completed cases equals the number of cases received by the Office, over a protracted period of time. During the last eight quarters, the ratio of complaints cleared to complaints received has never exceeded 75 percent. While additional personnel were added to the OMI complement during the tenth quarter, the Office continued to run a backlog of cases for this quarter. While the Office completed and forwarded to the auditor for review a total of 26 investigations this quarter, the office received 99 complaints during the tenth quarter, adding an additional 73 cases to the backlog of 559 cases currently pending. OMI cases currently pending total 632 cases.
The continuously growing backlog of cases is beginning to affect seriously the management functions of the bureau of police. For example, the chief of police has made eleven disciplinary decisions this quarter based on complaints forwarded to him from the Civilian Review Board, with regulatory decision deadlines affixed. OMI investigations were completed in none of those eleven cases prior to the chief’s decisions being rendered. In addition, of the 27 police personnel identified as needing closer monitoring (during the tenth quarter’s COMPSTAR evaluation process) 12 of those officers have five or more active allegations pending, but unresolved by OMI. The 27 officers have more than 129 outstanding allegations, most pending more than 350 days.
Resolution of the staffing and productivity issues within OMI have reached a critical stage, and threaten the overall success of the consent decree.
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Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not in Compliance

2.55

Compliance with Task 65: OMI to Use the Preponderance of

Evidence Standard

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY
SECONDARY OPERATIONAL

Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology

The auditor reviewed the OMI Manual of Policy & Procedure, which states at Section 7-4 that “all findings by OMI shall be based upon the ‘preponderance of the evidence standard.’” The revised (5/98) document defines this standard for the reader, using applicable civil law definitions. The auditor reviewed all 26 OMI investigations completed this quarter, and found each to conform to the preponderance of the evidence standard, as articulated in the OMI manual.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.56

Compliance with Task 66:

Statements

No Preference for Officers’

Apr 97 Q1

Q2

Q3 Apr 98 Q5

Q6

Q7

PRIMARY SECONDARY OPERATIONAL
Paragraph 66 stipulates that “there shall be no automatic preference of an officer’s statement over a complainant’s statement,” and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary
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records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed the OMI Manual of Policy and Procedure for references to preferences to officer’s statements, and found a reference in the revised (5/98) Section 6-9. There were also references to credibility determinations (Section 69) which conform to the requirements of paragraph 66.

In addition, the auditor reviewed all 26 investigations of citizens’ complaints completed during the tenth quarter for conformance to this requirement. In each of these 26, credibility assessments were documented in the final report. No automatic preference for officers’ statements was noted.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.57

Compliance with Task 67:

Authority

OMI Retains Final Investigative

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between November 16, 1999 and February 15, 2000, searching for a case which resulted in a finding which was “reversed” by a supervisor or senior supervisor. No such cases were found. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

2.58

Compliance with Task 68:

“Not Resolved”

Change “Not Sustained” to

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 68 requires the city to change the OMI disposition category of “Not Sustained”

Methodology

The auditor reviewed the OMI manual, which stipulates at 7-1B, that cases which generate “evidence that is insufficient to prove or disprove that accountability standards have been violated” will be classified as “Not Resolved.” Further, the auditor assessed all completed OMI investigations for the August 16 to November 15, 1999, to determine if the disposition of “Not Resolved” was appropriately used.

During the seventh quarter, the auditor noted a discrepancy in case resolution between the “not resolved” classification and “unfounded” classification. As a result of this discrepancy, the auditor reviewed all final reports prepared by OMI during the tenth quarter, particularly with respect to the disposition classification of “not resolved.” Four of the 26 cases completed this quarter were classified as “not resolved,” and, in the judgment of the auditor, this classification was justified.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59

Compliance with Task 69:

OMI to Issue Quarterly Reports

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

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Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60

Compliance with Task 70:

Appoint Auditor within 90 Days

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December, 4 1997, and has been updated annually. The city is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the city is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61

Compliance with Task 71:

Assurance Checks

Auditor to Perform Quarterly

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

• OMI final reports;

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• Substance and timeliness of 50 percent of all OMI investigations completed; • Statistical information on the number and types of complaints filed with OMI; • Statistical information on discipline imposed on sustained complaints; • Assessments of officer use of force, searches and seizures, and traffic stops.
Methodology
Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.
Number and Type of Complaints Filed
Complaints filed with OMI over the last seven quarters fall into three categories:
• Type 1 (allegations of rules violations); • Type 2 (allegations relating to attitude and conduct); and • Type 3 (allegations of abuse).
Type 1 allegations include failure to perform, neglect of “ministerial” duties, inaccurate reporting, violation of departmental orders such as those regulating secondary employment, minor events of conduct unbecoming an officer, etc. Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self-assigned investigations, and failure to perform or neglect of duty “on scene.” Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse.3 Table One, below, depicts the number and type of citizens’ complaints received by OMI during the seven quarters covered by the consent decree.
The data reflected in Table One are presented in Figure One, below, which depicts the percent of complaints received, by type of complaint, by quarter. As Figure One indicates, the relative percentage of the more serious complaints (Type 2 and Type 3 complaints) appear to have dropped substantially since the beginning of the decree, although the number of Type 3 complaints indicates a numerical rise for the last three quarters.
3 Exact classifications are still under discussion with the City and the Department of Justice. Auditor’s Tenth Quarterly Report March, 2000 Public Management Resources San Antonio, Texas

Page 65

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 10th Quarters (1997-2000)

Quarter Type 1 Type 2 Type 3 Total

One 18

9

26

53

Two 22

15

39

76

Three 33

32

59

124

Four 42

19

84

145

Five 33

18

58

109

Six 8

12

24

44

Seven 25

1

15

41

Eight 14

16

13

43

Nine 39

0

35

74

Ten 39

60

48

99

Total

273

182

401

808

Source: Electronic database provided by City of Pittsburgh, CIS.
Average Complaint Severity

Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated for the nine quarters covered by this report. The average (mean) severity of complaints filed with the office are represented in Figure Two, below. As the figure indicates, the average severity of complaints has dropped since the beginning of the consent decree, but has risen for three quarters in a row.
Figure One: Percentage of Type 1,2 & 3 Complaints Received by Quarter (1997-2000)

100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Quarter

Type 3 Type 2 Type 1

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
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Figure Two: Mean Complaint Severity by Quarter (1997-2000)

2.5

2 1.5

1 0.5

0

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Q9

Q10

Quarter

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rates of Sustained Citizens’ Complaints
Complaints investigated by OMI are classified, upon completion, as one of four disposition categories:
• Exonerated (evidence indicated that the event occurred, but that the officer was acting in conformance with the law or PBP policy);
• Not Resolved (not enough information was available to prove or disprove the allegation);
• Sustained (evidence indicated that the allegations were true); or • Unfounded (evidence indicated that the allegations did not occur).
Figure Three, below, depicts the rates at which OMI resolved the complaints received during the first ten quarters covered by this report. The percentage of sustained complaints appears to have risen gradually over the ten quarters, from an average seven percent in the first three quarters to an average of ten percent in the last three quarters.
Figure Three: Resolved Complaints by Disposition,, by Quarter (1997-2000)
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1.00 0.90 0.80 0.70 0.60 0.50 0.40 0.30 0.20 0.10 0.00
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Quarter

Sustained Exonerated Unfounded Not Resolved

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

Rate of Sustained Complaints
The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Four, below. The data depicted in Figure Four were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any finding other than “sustained.”
Figure Four reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation. As with other data reported in this section, Figure Four deals only with investigations of complaints filed by citizens. Complaints investigated by OMI as a result of an internal infraction referred to OMI by the Bureau of Police are not included in these analyses.
Figure Four: Rate of Sustained Citizens’ Complaints By Quarter (1997-2000)

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0.2

0.18

0.16

0.14

0.12

0.1

0.08

0.06

0.04

0.02

0

Q1

Q2

Q3

Q4

Q5

Q6

Q7

Q8

Q9

Q10

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Complaints Received and Complaints Cleared
The number of citizens complaints received by OMI during the last ten quarters, compared to the number of complaints resolved by the Office is reported in Figure Five, below. As with all other data reported in this section, these data are also calculated using data provided by the city and “cleaned” by the auditor’s staff.
Figure Five reports two categories of data for the ten quarters covered by this report. The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously). The second category reported identifies the number of complaints resolved by OMI investigation.

Figure Five: Complaints Received v. Complaints Resolved, By Quarter (1997-2000)
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Public Management Resources San Antonio, Texas

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160 140 120 100
80

145

124

109

76

99 74

60 53
40 24

39

44 41 43

26 24

31 24

31

26

20

10

12

0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10

Cleared Received

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

Length of OMI Investigations

Figure Six depicts the average length of time (in number of days) required to complete an OMI investigations during the last ten quarters covered by this report. The data depicted in Figure Six were calculated by determining the number of days from complaint receipt to compliant resolution, as reported in the OMI database, for each investigation completed during each of the seven quarters covered by this report. An arithmetic average (mean) was then calculated for each quarter.

Data for Figure Six reflect an intensive training schedule for OMI personnel, beginning in the third quarter. These data also reflect the fact that OMI is beginning to “clear up” long-term pending cases.

Figure Six: Average Length of Time Required to Complete OMI Investigations, by Quarter (1997-2000)

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400 350

342 342

300 250

233

200

150

149 105

100

50 30

32

38

47

54

0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

Length of Pending Investigations
The length of time OMI investigations are pending is reported in Figure Seven, below. The number of citizens’ complaints currently pending for each period of time (0-3 months, through more than 18 months) are depicted.
The data were collected by subtracting the date the complaint was received by OMI from the effective date of the end of the tenth quarter (February 15, 2000). For the purposes of this report, a “month” was operationalized as 30 calendar days. Using 30 as the divisor, the total number of “pending” months was calculated for each complaint. For example, Figure Seven indicates that OMI has 41 citizens’ complaints which are classified as “open” nine-twelve months after they were filed. As of the tenth quarter, OMI has a backlog of 632 cases, with nearly half of those pending longer than one year. The backlog has grown steadily during the past ten quarters (see Figure Five above).

Figure Seven: Length of Pending Investigations of
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Citizens’ Complaints (1997-2000)

Page 71

140 120 100
80 60 40 20
0

130 0-3.0

106

110

97

88

60 41

3.1-6.0

6.1-9.0

9.1-12.0 12.1-15.0 15.1-18.0 18.1-21.0 Months

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

2.62

Compliance with Task 72:

Auditor to Recommend

Reopening of Incomplete OMI Investigations

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete. Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.
Methodology
The auditor has reviewed all 26 final reports of OMI investigations of citizens’ complaints completed between November 16, 1999 and February 15, 2000. In addition, the auditor conducted a comprehensive review of supporting documentation for 15 cases completed during this time frame. Of those 15 cases, one is remanded to the Office of Municipal Investigations for additional work. This case is described below.
• AQR 10-P, a case alleging excessive force, conduct unbecoming, and other charges, in which two separate witness canvasses were conducted, and two witnesses were located, the investigative report apparently ignores information obtained from a witness located through one of the canvasses which indicates that one officer engaged in threats and intimidation and used profanity during the arrest in question. While a witness canvass was
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conducted in two locations, and two witnesses were located, a third potential witness was not located and interviewed.
Detailed notes regarding remedial tasks for this case have been forwarded to the city solicitor and the OMI manager.

2.63 Compliance with Task 73:

City to Prepare Progress Reports

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter. The first report was issued July 11, 1997; the second was issued January 16, 1998. The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The city remains in compliance with the requirements of task 73

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.64 Compliance with Task 74:

City to Maintain Records Necessary

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 requires the city to maintain all records necessary to document their compliance with all terms of this decree. Further, it requires the city to maintain records required by or developed under this decree.

Methodology

The auditor asked for all pertinent copies of records required to document compliance with the decree, and received same in a timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Public Management Resources San Antonio, Texas

a 2.65 Compliance with Task 75:

Page 73
Unrestricted Access for Auditor

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 75 requires the city to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto. Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

During the course of development of the first Auditor’s Quarterly Report, the auditor made dozens of specific requests of the city, OMI and the Pittsburgh Bureau of Police. All requests were responded to in a professional and timely manner.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76:

Unrestricted Access for Justice

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL
Paragraph 76 requires the city to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree. Further it requires access to staff and facilities upon appropriate notice.
Methodology

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During the course of the implementation of this decree, the Department of Justice has made numerous requests for information, data and access. These requests have always been honored.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.67 Compliance with Task 77: Officers

Copies of Consent Decree to All

Apr 97 Jul

Oct Jan 98 Apr

Jul

Oct Jan 99 Apr

PRIMARY SECONDARY OPERATIONAL

Paragraph 77 of the decree requires the city to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations. All such individuals are further required to sign a statement indicating that they have received, read and understand the statement. The city is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the city acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video4. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the city’s approach to compliance. Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

4 Officers on extended leave and who are otherwise excused for duty for extended periods of time have not viewed the video, nor have they signed the statement of understanding.
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2.68 Compliance with Task 78:

90 Day Timeline for Conformance

Apr 97 Q1 Q2 Q3 Apr 98 Q5 Q6 Q7 Q8 Q9 Q10

PRIMARY SECONDARY OPERATIONAL

Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree.
Methodology
• Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the PARS. The city is currently in primary compliance with 100 percent of the 745 provisions to which the city should have complied by now. The city is in secondary compliance with 71 of the 74 provisions due as of August 15, 1998. It is also in operational compliance with 71 of the 74 tasks, due as of August 15, 1998.

5 Two of the 76 tasks in the decree accrue to the auditor. Auditor’s Tenth Quarterly Report March, 2000 Public Management Resources San Antonio, Texas

Page 76
3.0 Summary
The city, the bureau and the Office of Municipal Investigations have continued compliance with most elements of the consent decree during the last quarter, although this quarter recorded a loss of compliance in three areas.
The city and the Pittsburgh Bureau of Police are nearing the end of the first phase of one of the most complex organizational change projects in the history of American policing. The consent decree has outlined changes to nearly every administrative component of the bureau. As the first phase ends, the second phase calls for Bureau personnel to begin to institutionalize the changes forged under the first phase.
Continued problems with the quality of OMI investigations were observed this quarter, for the second quarter in a row. Many of these problems could be viewed in the light of understanding of difficulty of maintaining the high standards established over the last eight quarters.
The city has maintained a primary compliance rate of 100 percent, a secondary compliance rate of 96 percent, and an operational compliance rate of 92 percent. The city has come into compliance in all but six areas; however, these are among the most difficult areas to control, as quality assurance in the internal investigations process is among the more difficult tasks confronting American law enforcement.
On the police side, as well, the most difficult problem remains: moving responsibility for review and control of unwarranted police behavior, and recognition and award of exemplary police behavior to the sergeant’s and lieutenant’s level. Increasing supervisory presence and improving supervisory control and leadership are critical factors for the bureau, and are essential to maintain compliance.
These two remaining tasks—establishing and maintaining the quality of internal investigations and “institutionalizing” the changes made as a result of the decree—are among the most difficult tasks in law enforcement. They will take time to accomplish. As of the tenth quarter, the decree process is half way through its established timeline. The city and the Department of Justice at the point at which all changes required need to be completed in order to give these changes time to take hold as part of the institutional fabric prior to the end of the five-year life of the project.
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Overall compliance status of the project is depicted in the Table Two, below. Table Three, below, summarizes the results of the compliance effort to date.

Task No.
12 12a 12b 12c 12d 13 14 15 16 17 18 18b 19a 19b 20a 20b 21a 21b 21c 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38

Table Two: Overall Compliance Status, Tasks 12-38

Primary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Secondary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Operational Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

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Task No.
39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56
57 58 59 60 61 62 63 64 65 66 67 68 69 70 736 74 75 76 77 78

Table Two: Overall Compliance Status, Tasks 39-78

Primary Compliance
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

Secondary Compliance
Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Yes Yes Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO

Operational Compliance
Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes
Yes Yes Yes Yes Yes Yes Yes NO Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes NO

6 Tasks 71 and 72 accrue to the auditor. Auditor’s Tenth Quarterly Report March, 2000 Public Management Resources San Antonio, Texas

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Table Three: Overall Compliance Status, by Percent

Number in Compliance Percent in Compliance

Primary Compliance
74
100 %

Secondary Compliance
71
96 %

Operational Compliance
71
96 %

Auditor’s Tenth Quarterly Report March, 2000
Public Management Resources San Antonio, Texas

Table of Contents

Page i

1 Introduction .........................................................................................1 1.1 Overall Status Assessment ...............................................................1 1.1.2 Dates of Project Deliverables .....................................................1 1.2 Format for Compliance Assessment ..................................................1 1.3 Compliance Assessment Processes....................................................2 1.3.1 Structure of the Task Assessment Process...................................2 1.4 Operational Definition of Compliance ................................................3
2 Assessment of Compliance .....................................................................4 2.1 Methodology ..................................................................................4 2.2 Assessing Compliance with Task 12: Automate the PBP Early Warning System (PARS).........................................................................................4 2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping .........................................................................6 2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems 7 2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS .........................................................................8 2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS ......................................................................9 2.3 Assessing Compliance with Task 13: Developing a Use of Force Policy 10 2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy .........................................................................................12 2.5 Assessing Compliance with Task 15: Written Reports of Specific Police Actions..................................................................................................13 2.6 Assessing Compliance with Task 16: Reporting Traffic Stops.............14 2.7 Assessing Compliance with Task 17: Entry of Data into the PARS ...... 15 2.8 Assessing Compliance with Task 18: Audits of Use of Force ..............16 2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly....... 18 2.9 Compliance with Task 19-a: Review Search and Seizure Reports through Chain of Command.....................................................................19 2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data.......................................................................................20 2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias ....... 21 2.10.1 Compliance with Task 20-b: Quarterly Analysis of Racial Bias ........ 21 2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action.... 23 2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling.... 24 2.12 Compliance with Task 22: Disciplinary Files at the Zone Level ...........26 2.13 Compliance with Task 23: Annual ..................................................27 Performance Evaluation ..........................................................................27
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2.14 Compliance with Task 24: Performance Based Promotion .................27 2.15 Compliance with Task 25: Provision of an Employee Assistance Program................................................................................................28 2.16 Compliance with Task 26: Notification of Adverse Involvement .........29 2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings ........ 30 2.19 Compliance with Task 29: Provision of Legal Advisor Services ...........31 2.20 Compliance with Task 30: Develop a Rotation Schedule ...................32 2.23 Compliance with Task 33: Provision of Training in Cultural Diversity .. 34 2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators..............................................................................................34 2.25 Compliance with Task 35: Training in Verbal De-Escalation...............35 2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits ................................................................................................36 2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity.37 2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process .................................................................................................38 2.29 Compliance with Task 39: Encourage Qualified FTO..........................38 2.30 Compliance with Task 40: Train all FTOs and Instructors...................39 2.31 Compliance with Task 41: Maintenance of Training Records .............40 2.33 Compliance with Task 43: Annual Supervisory and Leadership Training ................................................................................................42 2.34 Compliance with Task 44: OMI Quality Assurance............................42 2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training 44 2.37 Compliance with Task 47: Receipt of Complaints ..............................45 2.38 Compliance with Task 48: Receipt of Anonymous Complaints............46 2.39 Compliance with Task 49: Closure of OMI Investigations ...................47 2.40 Compliance with Task 50: Relocate OMI..........................................47 2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints ............................................................................................48 2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints................................................................................49 2.43 Compliance with Task 53: Responsibility for Complaint Investigation .50 2.44 Compliance with Task 54: Officers to Provide Name and Badge Number on Request............................................................................................51 2.45 Compliance with Task 55: Interview of Complainants at Alternative Sites ..................................................................................................52 2.46 Compliance with Task 56: OMI to Tape and Transcribe Interviews ..... 52 2.47 Compliance with Task 57: OMI Staff Access to PARS.........................53 2.48 Compliance with Task 58: OMI to Interview Supervisors at Scenes of Incidents Leading to Allegations of Misconduct ..........................................53 2.49 Compliance with Task 59: OMI to Canvass for Witnesses ..................54 2.50 Compliance with Task 60: OMI to Review Police Shootings ................55
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2.51 Compliance with Task 61: OMI to Aggressively Investigate Allegations of Misconduct ............................................................................................55 2.52 Compliance with Task 62: OMI to Act on Behavior “Outside the Four Corners”................................................................................................57 2.53 Compliance with Task 63: OMI to Issue Final Reports ......................58 2.54 Compliance with Task 64: OMI to be Adequately Staffed...................59 2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard ...............................................................................................60 2.56 Compliance with Task 66: No Preference for Officers’ Statements ..... 60 2.57 Compliance with Task 67: OMI Retains Final Investigative Authority .. 61 2.58 Compliance with Task 68: Change “Not Sustained” to “Not Resolved” 62 2.59 Compliance with Task 69: OMI to Issue Quarterly Reports................62 2.60 Compliance with Task 70: Appoint Auditor within 90 Days ................63 2.61 Compliance with Task 71: Auditor to Perform Quarterly Assurance Checks .................................................................................................. 63 2.62 Compliance with Task 72: Auditor to Recommend Reopening of Incomplete OMI Investigations ................................................................71 2.63 Compliance with Task 73: City to Prepare Progress Reports...............72 2.64 Compliance with Task 74: City to Maintain Records Necessary ...........72 2.65 Compliance with Task 75: Unrestricted Access for Auditor .................73 2.66 Compliance with Task 76: Unrestricted Access for Justice..................73 2.67 Compliance with Task 77: Copies of Consent Decree to All Officers .... 74 2.68 Compliance with Task 78: 90 Day Timeline for Conformance .............75 3.0 Summary ...........................................................................................76
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 Page -1

1 Introduction

Auditor’s Thirteenth Quarterly Report Quarter Ending November 16, 2000

This document represents the thirteenth of an anticipated 20 "Auditor’s Quarterly Reports" (AQR) assessing the levels of compliance of the City of Pittsburgh (city) with the requirements of the consent decree (decree) entered into between the city and the United States Department of Justice (justice) on April 16, 1997. The document consists of three sections, identified below:

!"Introduction; !"Compliance Assessment; and !"Summary.

The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of "compliance" are described in Section One, "Introduction." Section Two, "Compliance Assessment," includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, "Summary" provides an overall assessment of the city’s performance for this quarter.

1.1

Overall Status Assessment

1.1.2 Dates of Project Deliverables

Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the city; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.

1.2 Format for Compliance Assessment

The AQR is organized to be congruent with the structure of the consent decree. It reports on the city’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated "early warning system" now known to the Bureau of Police as the Performance Assessment and Review System (PARS). The following components of the decree are treated similarly. Compliance is classified as primary, secondary and "operational," with the definitions specified in Section 1.4, below.

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1.3 Compliance Assessment Processes

1.3.1 Structure of the Task Assessment Process

Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:

•

Selection of a random sample, or

•

Selecting all available records of that type.

Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.

The performance of the PBP and the City of Pittsburgh (city) on each task outlined in the consent decree was assessed by the auditor during the quarter ending August 15, 2000. In order to allow time for completion of the report, the auditor completed assessment activities on August 11, 2000.

All determinations of status for the city and the PBP are data-based, and were formed by review of the following types of documents:
!"Official PBP documents prepared in the normal course of business; !"Official Office of Municipal Investigations (OMI) documents prepared
during the normal course of business; and/or !"Electronic documents prepared by the city or components of city
government during the normal course of business.

Where practicable, documentation forming the database for this audit was selected by the auditor and the auditor’s staff directly from PBP, OMI or city files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints, were assessed by reviewing OMI files, OMI electronic files, and zone performance files.

1.4

Operational Definition of Compliance

For the purposes of this audit, "compliance" consists of three components: primary compliance, secondary compliance, and operational compliance.
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Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to "comply" as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. Secondary compliance is depicted by a To achieve operational compliance, both the primary—policy and directives— and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in dayto-day operations of the bureau.

During the thirteenth quarter of the decree, the city, the bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.

1.5 Depicting Compliance Levels

This report uses both a narrative and graphic schema to depict compliance levels with the requirements of the consent decree. The narrative depiction labels compliance in the three categories as follows:

Status:

Primary: Compliance Level Secondary: Compliance Level Operational: Compliance Level

With appropriate compliance levels reported for each level of assessment.

The graphical depiction shows each level of compliance in relation to the time provided by the decree to reach compliance. The figure below depicts compliance levels on a hypothetical task.
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

The solid blue bar

indicates the time allowed by the decree to reach

compliance, in this case, one quarter. The “primary,” “secondary,” and

“operational” task bars indicate the time the agency took to achieve the various

levels of compliance. A vertically patterned light blue bar

indicates

compliance achieved within the time allowed. A checkered yellow-bar

depicts compliance which was achieved in a period of time that was

longer than that allowed by the decree, but which does not, in the opinion of the

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Page -4

auditor, seriously affect the city’s successful compliance with the decree. A

horizontally patterned orange bar indicates that compliance was achieved in a

period of time that was longer than that allowed by the decree, and which may

affect eventual compliance. A solid red bar

depicts that compliance

was achieved in a period of time that was longer than that allowed by the decree,

and which, in the opinion of the auditor, does affect eventual compliance.

2

Assessment of Compliance

2.1

Methodology

The auditor assessed the city’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and "operational" (see section 1.4, above).

The following sections of the thirteenth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the city has complied with the 74 tasks to which it agreed on April 16, 1997.

2.2

Assessing Compliance with Task 12: Automate the PBP Early

Warning System (PARS)

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-a of the decree requires the city and the PBP to automate the database tracking system currently in use to assess police officer performance, and to add functionality to the system, transitioning it to an "early warning system" which will assist the bureau in identifying and managing officer performance which may need improvement. The bureau has expanded the EWS concept into a Performance Assessment and Review System (PARS).
Methodology
During the site visit for the thirteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The
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Page -5

review was conducted by obtaining PARS-specific data for the third quarter of 2000 and reviewing the performance factors for all PBP personnel. As part of this review, data were assessed for all active police officers, assessing particularly the officers whose activity levels were assessed to be one or more standard deviations above the mean for their workgroups in the areas of citizen complaints, search and seizure activity, use of force, discretionary arrests and traffic stop activity. Results of the auditor’s review are noted below.

A review of PARs data by command staff this quarter noted:
!"49 police officers who were reviewed based on decisions made during the previous quarter;
!"110 police officers whose performance in the area of warrantless search and seizure fell one or more standard deviations above their work group means;
!"86 officers whose performance in the area of the application of force seizure fell one or more standard deviations above their work group means; and
!"26 officers who were the subject of gender or racial bias complaints.

In each of these cases, command staff review was appropriate, and related to the tenets of good supervision. A total of 59 supervisory actions (monitoring, discipline, counseling, etc) were taken by command staff based on this quarter’s COMPSTAR review and associated information.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-a of the decree requires the city to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.

Methodology

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Page -6

During the site visit for the thirteenth quarterly audit, the auditor reviewed the city’s Performance Assessment and Review System (PARS). PARS is now completely operational, and was used by the PBP command staff to conduct its fifth quarterly analysis during the month of August, 2000. The auditor’s review for the thirteenth quarter was conducted by reviewing 100 percent of the related data included in the PARS. The bureau and the city continue to inspect and audit the records in the PARS, and quality control is an on-going process. During the week of the auditor’s site visit, the command staff conducted its quarterly analysis of PARS data. During that analysis, the command staff reviewed the performance parameters of 245 officers who, based on their performance records during the quarter, fell one or more standard deviations above the mean for their work groups on the various tasks assessed by PARS, or who had higher numbers of overall performance indicators than their peers. From those 245 officers, command staff selected 59 for some form of continued or increased scrutiny, based on their performance over the last quarter. The PARS reports accurately on each of the parameters required by the consent decree.

Status:

Primary: In Compliance

Secondary: In Compliance

Operational: In Compliance

2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-b of the decree requires the city to build into the PARS the ability to retrieve information from the PARS by officer, squad, zone, unit, regarding the execution of "discretionary arrests," traffic stops, searches and seizures, and use of force.
Methodology
During the site visit for the thirteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. A review of the capabilities of the PARS indicates that the system is capable of retrieving,
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Page -7

analyzing, and reporting data across each of the variables required by the decree. More than 1,000 separate tests were performed, using the PARS and its supporting OMS. The OMS reported accurately in each of the tests, and the PARS accurately reflected the data contained in the OMS.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-c of the decree requires the city to archive the records in the PARS for three years after the involved officers’ separation from service, and requires that all records be archived indefinitely. In addition, it requires the city to enter all relevant data for three years prior to April 16, 1997.

Methodology

During the site visit for the thirteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. Data continue to be entered as required by the decree. The auditor found no instances of data being purged from the PARS in conflict with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Page -8

Paragraph 12-d requires the city to develop a protocol for use of the PARS that would:
!"Establish trigger thresholds for review of officer records by senior supervisors;
!"Establish requirements for frequency of review of officer records by senior supervisors;
!"Establish the types of corrective actions to be taken by senior supervisors; !"Establish confidentiality and security provisions for the PARS; !"Establish requirements for quality assurance checks of data input; and !"Have the protocol submitted for review 30 days before implementation.

Methodology

During the site visit for the thirteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted using a live database from the operational PARS.

Now that the PARS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the PARS by the consent decree. The operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer performance, in compliance with the requirements of the decree. Command staff use PARS and supporting systems to conduct quarterly analysis of personnel performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.3

Assessing Compliance with Task 13: Developing a Use of

Force Policy

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 13 requires the city to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the city to submit the policy to justice for approval prior to implementation.

Methodology

Further, the auditor conducted a thorough review of a random sample of six percent of 146 Subject Resistance Reports generated by PBP personnel during the quarter. The review conducted by the auditor indicates an acceptable level of command review. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 14 requires the city to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.
Methodology
In addition, the auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and found two that reported a strip search. Both of these searches were approved in advance by supervisory personnel, and were conducted in locations expressly approved for such procedures. Based on a review of the record, the searches complied with all aspects of this section of the decree. The bureau is judged to remain in operational compliance on this task, based on past performance.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.5

Assessing Compliance with Task 15: Written Reports of

Specific Police Actions

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 15 requires the city to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.

Methodology

The auditor reviewed a randomly selected sample of Subject Resistance Reports and Field Contact/Search/Seizure Reports to assess the level of accuracy of reporting and supervisory review for these reports. A six percent sample of 146 SRRs written during the thirteenth quarter was selected for review. In addition a six percent sample of 273 completed search and seizure reports was selected for review. While these samples are lower than in past audit cycles, this reflects six straight quarters of 100 percent compliance on these tasks. All of the reports reviewed this quarter were found to be compliant with the requirements for search and seizure and use of force reporting.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.6

Assessing Compliance with Task 16: Reporting Traffic Stops

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 16 requires the city to establish reporting requirements each time a police officer makes a traffic stop. The city has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The bureau has begun collecting traffic stop data, using the form designed by the city. These data are available at the Zones, and have been entered into the PARS. The eighth quarter was the first quarter in which detailed assessment of traffic stop information was possible, as the tabular data from the PARS regarding traffic stops was available through the PARS as of this audit cycle.

Methodology

Traffic stop data for 35 officers were assessed by the monitoring team during the thirteenth quarter. The auditor found the traffic stop data to accurately reflect information included in the COMPSTAR review conducted by command staff. The bureau is judged to be in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 17 requires the city to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The city has developed protocols requiring entry of data as required by the consent decree.
Methodology
The auditor has reviewed these protocols and found them to be acceptable. During his thirteenth quarterly site visit, the auditor tested data entry protocols by performing more than 100 individual tests of the system. The PARs and OMS reported accurately in each of these tests.
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Status: 2.8

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
Assessing Compliance with Task 18: Audits of Use of Force

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 18 requires the city to cause supervisors and senior supervisors to conduct "regular audits" of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.

Methodology

The auditor reviewed a five percent sample of all completed SRRs for the quarter. Each report was appropriately reviewed by command staff, and reports incorrectly completed were noted and re-routed for remediation. No errors were noted in the SRRs reviewed by the auditor.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. The bureau has completed its third quarterly analysis of use of force data, using the Officer Management System and PARS. The analysis identified use of force trends, as well as focusing on officers who recorded higher than average use-of-force rates. The command staff used the OMS and PARS to
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identify officers receiving complaints of excessive force, officers who had higherthan average levels of use-of-force rates in any one of the past four quarters, and to assess overall trends in use of force. These assessments became part of the quarterly "Computer Statistical Trend Analysis and Review" (COMPSTAR) meeting minutes, along with recommendations for counseling, retraining or other solutions to issues raised with specific officers’ use of force practices. Protocols require follow-up at the next quarterly PCS meeting to evaluate the effectiveness of these solutions.

Methodology

Using the PARS/OMS system, the auditor identified, during the thirteenth quarterly audit, 110 officers whose use of force statistics (or associated activity levels) were one or more standard deviations higher than their group norms, and who, in the auditor’s opinion, required further scrutiny. All zone commanders checked subject resistance report data as part of their routine quarterly analysis, and all 110 of the officers identified by the auditor were also noted by zone commanders. The increase in the rate of officers noted by the auditor this quarter, over previous quarters is due to the fact that, during the thirteenth quarter, the auditor reviewed a 100 percent sample of SRR reports (electronically, using PARS data), rather than selecting a sample for review. Command staff selected 13 officers for increased scrutiny, based on their review of performance factors this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9

Compliance with Task 19-a: Review Search and Seizure

Reports through Chain of Command

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-a requires the city to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.
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Methodology

During the site visit for the thirteenth quarter, the auditor selected a random sample of six percent of 273 FCSSRs completed during the quarter. Each of these reports was analyzed to ensure the report met the requirements of task 19a. Further, each of the selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the reports was assessed, and supporting documentation, where available, was reviewed.

Of the reports reviewed, none were judged to be problematic. The error rate for FCSSRs for the thirteenth quarter is zero. This is attributable, in part, to the internal review process established by the bureau.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-b requires the city to analyze the search and seizure activity of its officers on a quarterly basis.
Methodology
Command staff used search and seizure data, generated by PARS, to assess officers’ performance, identifying officers who were above average in this category. These officers were noted to be of two types: those who were active in search and seizure processes, but whose reports indicated no problematic behavior, and those whose activities indicated additional training, counseling, or supervision. The command staff selected the first group of officers for potential commendation, and the second group for potential remediation.
Using the PARS/OMS, the auditor identified 86 officers whose FCSSR data fell one or more standard deviations above the mean for their work groups. All of the zone commanders reviewed each officer under their command whose
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Page -15

FCSSR data exceeded work group norms by one or more standard deviation. This review included a thorough review of both electronic data, and a review of actual FCSSRs completed by these officers. The command staff review noted each of the 86 officers identified, independently, by the auditor as indicating a need for further scrutiny. The increase in numbers of officers identified by the auditor is due to the fact that, during the thirteenth quarter, the auditor drew a 100 percent sample of PARS FCSSR data for analysis. Command staff selected five officers for additional scrutiny, based on a review of their performance factors.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-a requires the city to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial or gender bias. During the thirteenth quarter, fourteen allegations of gender bias on the part of bureau officers were completed by OMI, and forwarded to the bureau for review during the thirteenth quarter. None of the allegations were sustained as a result of the OMI investigations. Racial bias complaints are monitored closely by command staff, and each quarterly COMPSTAR review includes a discussion of the status of these complaints.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-b requires supervisors to use the PARS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. The bureau, during the week of August 2, 1999, developed a specific protocol for quarterly analysis of potential indicators of racial bias. The protocol requires the command staff to review an officer’s complete PARS file if any of eight events involving the officer occur during any given quarter.

These events include:

•

Notation on the Supervisor’s Daily Activity Report (SDAR) of any

indication of racial or gender bias on the part of a given officer;

•

A complaint by a supervisor of racial or gender bias against an officer;

•

A peer compliant of racial or gender bias;

•

An OMI complaint of racial or gender bias;

•

Filing of a lawsuit, in which the officer is named, contending racial or

gender bias;

•

Any indication, during a normal review of routine police reports (offense

reports, arrest reports, search and seizure reports, subject resistance

reports, etc.) that an officer indicates potential racial or gender bias;

•

Comments made by an officer indicating racial or gender bias; or

•

A non-OMI complaint of gender or racial bias.

The quarterly analysis conducted by command staff during the week of November 6, 2000 identified 26 officers with at least one of these "trigger" events.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary
Operational
Paragraph 21-a requires the city to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a three-year period, or five or more complaints in a two-year period.
Methodology
The auditor reviewed all discipline imposed by the bureau for the thirteenth quarter. Based on records obtained from the office of the chief of police, 16 individual disciplinary actions, involving citizens’ complaints, were taken by the bureau during the period of time covered by this report. The auditor reviewed all disciplinary actions reported for the thirteenth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline.
Based on the protocols of progressive discipline, the bureau is responding within its anticipated range of responses in delivering discipline. Offenses recorded for these 16 disciplinary actions included:
!"Failure to report a traffic accident; !"Violation of the law enforcement code of ethics; !"Neglect of duty; !"Failure to safeguard a prisoner’s personal property; !"Obedience to laws and orders; !"Conduct unbecoming a member or employee; !"Truthfulness; !"Conduct toward the public; and !"Failure to provide notification of a civil suit.
Discipline for the 16 incidents involving interactions with the public included:
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!"Oral reprimands; !"Written reprimands; !"Extensive Track III counseling; !"Anger management training; !"Five-day suspensions pending termination; !"3-day suspensions; and !"One-day suspensions.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 21-b requires the city to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on review of officer behavior.

Methodology

The auditor reviewed the bureau’s disciplinary processes for August 16, 2000 to November 15, 2000. The bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the bureau included retraining, counseling, one-on-one discussions with the legal advisor, and other appropriate forms of "retraining" and "counseling."

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.11.2

Compliance with Task 21-c: Consider Prior Record in

Determining Discipline

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 21-c requires the city to consider an officer’s prior record in determining discipline.

Methodology

According to records provided by the bureau and the Office of Municipal Investigations, 16 individual disciplinary actions were taken by the bureau this quarter. Each of the 16 disciplinary actions taken by the bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. Three of the disciplinary actions taken this quarter indicated a modification to discipline based on past record.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 22 requires the PBP to establish disciplinary action files, or "performance files" at the zone level.
Methodology
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Page -20

No on-site audit of zone performance files were conducted this quarter, as a full audit was instead conducted of all zones’ supervisory daily activity systems. Based on past performance, however, the bureau is judged to remain in compliance with this task. Partial audits of both the supervisory daily activity reporting systems and the performance file systems will be conducted during the fourteenth site visit.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual Performance Evaluation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 23 requires the city to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

During the course of the thirteenth quarterly audit, a total of seven police officers’ files were reviewed in detail. Each contained performance evaluations completed in accordance with established policy. This 100 percent compliance follows similar audits during previous site visits in which the performance assessment forms were present in all files reviewed.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 24 requires the city to use performance evaluations as a factor in promotional decisions.

Methodology

Eight promotions were made this quarter, with the bureau promoting three commanders and five sergeants. The auditor reviewed the personnel files for all eight individuals promoted, and found their files to be exemplary. The bureau remains in compliance based on this review.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.15 Compliance with Task 25: Provision of an Employee Assistance Program
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 25 requires the city to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.
Methodology
Evidence continues to exist to support the bureau’s operational compliance with paragraph 25. Past reviews of zone "performance files" indicate that the EAP is being used by departmental personnel and departmental managers. Bureau discipline continues to use the EAP as part of its progressive discipline campaign. The city continues to sponsor EAP-related forums and to advertise the availability of EAP offerings.

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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.16 Compliance with Task 26: Notification of Adverse Involvement
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 26 requires the city to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the city to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

A review of Bureau records indicates that the bureau continues to monitor its officers’ activities for adverse involvement. The bureau’s records included notice regarding pending civil litigation (not related to duty incidents), and filed civil court orders. Discipline this quarter involved one incident of disciplinary action for failure to provide notice of adverse involvement.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the bureau to
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Page -23

implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.

Methodology

The bureau has established an agreement with the district attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearings lost as a result of illegal activity. Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum "detailing the results of the hearing."

PBP policy calls for these memoranda to be forwarded to OMI for their review. Based on concerns expressed by the auditor that the DA’s office has forwarded no notifications of lost suppression hearings, etc., the chief of police has modified the reporting practice between the district attorney and the bureau. Court liaison personnel have begun to specifically inquire monthly, about lost suppression hearings, and allegations of false arrest or improper searches on the part of PBP officers. During the thirteenth quarter, three such inquiries were made of the DA’s staff. The auditor reviewed reports of these inquiries, which noted no lost suppression hearings due to poor probable cause, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.18 Compliance with Task 28: Sanctions for Officers Involved in Settled Litigation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational
Paragraph 28 requires the city to implement appropriate discipline "as the circumstances and OMI investigation warrant," in all instances in which PBP officers are the subject of civil litigation.
Methodology

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Page -24

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation settled litigation noted during the thirteenth quarter, and one was found. This case was settled late in the quarter, and the bureau had not yet taken action on the settlement. Action was taken during the thirteenth quarter. During the sixth quarterly audit, however, the department received notification of settled litigation involving two Bureau officers. During the seventh quarter, this case was reviewed by command staff, and disciplinary action was taken in April, 1999. It is clear from the review that the bureau continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 29 requires the city to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

Methodology

The auditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the bureau, publishing legal bulletins, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance
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Page -25

2.20 Compliance with Task 30: Develop a Rotation Schedule
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP continues to implement its rotation plan. The plan, supported by Chief’s Memo 97-550, requires routine consent-decree transfers in January of each year. Each January since implementation of this policy, the bureau has transferred sufficient numbers of personnel to remain in compliance with this task. In addition, during the thirteenth quarter, the bureau transferred all but two of its commanders, assigning each to new duties.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational
Paragraph 31 requires the PBP to "make every effort" to participate in community meetings, including those oriented toward minority groups.
Methodology

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The auditor reviewed monthly attendance logs for police zones for the months of August 16, 2000 to November 15, 2000. The logs show multiple community meetings attended by PBP personnel. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the city to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. The city continues to air television "spots" highlighting the function and process of the Office of Municipal Integrity. The city has also printed a brochure explaining the OMI function and has distributed the brochure to all of the city’s community organizations and placed these brochures in all city buildings. Plans are currently under way to revise the television PSAs to keep them current with existing city focus.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 33 requires the city to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.

Methodology

The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted two site-visits of the training academy, and have interviewed many of the personnel assigned to the training academy. The bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 2000, the bureau has continued to train its officers in the topics of cultural diversity, "effective communication" and ethics. To date, according to the training academy’s records, all but eleven bureau personnel have received training in cultural diversity for the 1999-00 training cycle. Plans for the 2000-2001 training cycle include provision of training to all personnel regarding police service to disabled populations.

Status:

Primary: In Compliance
Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 34 requires the city to establish monitoring systems which will assess citizen’s complaints for indicators of needs in training or re-training. The bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.

Methodology

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Page -28

In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports. In addition, the auditor reviewed the academy’s quarterly training assessment report.

It continues to be clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the past six quarters, training academy staff completed a review of citizen’s complaints and use of force reports with the aim of improving, where applicable, training curricula. Reports from the academy continue to be reviewed, assessed and critiqued by command staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 35 requires the city to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de escalation training "into all other training that implicates the use of force."

Methodology

To date, for the training year 2000, the bureau has trained all of its eligible officers (excluding fourteen officers on extended medical or similar leave, and thus not performing police duties) in "verbal judo" and/or tactical communications. The bureau-wide process of reviewing all use-of-force curricula has been completed, and a new "use of force" training curriculum has been implemented by the bureau.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
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2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 36 requires the city to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation "at the beginning of the training curriculum to serve as a foundation for all other classes The recruit curriculum offered "ethics" training and "verbal judo" in week one, and cultural diversity in week two. Additional training in weeks 21 and 23 cover additional topics in cultural diversity and verbal judo. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational
Paragraph 37 requires the city to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.
Methodology
The auditor has reviewed the bureau’s curriculum outlines for cultural diversity and ethics. According to academy records, all of the department’s sworn
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Page -30

personnel have received training in ethics through the bureau’s new "career and personal survival" training component. The bureau has contracted with a nationally-recognized provider of training in police ethics, and has substantially revised the curriculum for the 2000 calendar year. The latest ethics training was conducted as part of the State of Pennsylvania’s mandatory training cycle. During the tenth quarter, the bureau received accreditation from the National Institute of Ethics. All but ten of the agency’s eligible officers (excluding fourteen officers on extended leave) have received the state’s mandated “Leadership and Integrity” class during the 2000 training year.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 38 requires the city to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

Based on a review of the training records, the department has trained all of its officers in the OMI process, with the exception of officers who are on extended leave.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.29 Compliance with Task 39: Encourage Qualified FTO
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Page -31

Paragraph 39 requires the city to recruit "highly qualified" Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the city to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.

Methodology

The bureau has added 25 new FTOs to its complement of training officers in order to provide field training for two sections of recruits currently working through the training process. Discussion at the last quarterly COMPSTAR meeting addressed methods for ensuring that quality FTOs are recruited, trained and deployed. No assessment was made of the personnel records of those selected as FTOs during the site visit for the thirteenth quarter; however, a detailed review of these records will be made during the next site visit. The agency remains in compliance with this task based on a thorough review of FTO records conducted by the audit team during the eleventh quarterly site visit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40: Train all FTOs and Instructors

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 40 requires the city to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the city require FTOs and instructors to "demonstrate on a regular basis, their proficiency in their areas of instruction."
Methodology
The bureau has trained an additional 25 officers as instructors/FTOs, using its five-day “Instructor Development” training syllabus previously approved by the audit team. The academy has made no changes in its evaluation processes
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Page -32

used to assess the effectiveness of the FTO program, which has been previously approved by the audit team.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and "whether the training was completed satisfactorily."

Methodology

A review of training records for the thirteenth quarter indicates the academy has continued its established processes for maintenance of training records. A full on-site review of training records is scheduled for the next site visit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42: Document Mandatory Counselings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 42 requires the city to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.
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Methodology

During the auditor’s review of data for the thirteenth quarterly report, the department’s centralized file that is used to document mandatory counseling sessions were ordered this quarter for PBP personnel. The Bureau continues to use, and document, mandatory counseling as part of its disciplinary processes, and documents these counselings in files maintained in the office of the chief of police.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Annual Supervisory and Leadership Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 43 requires the city to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors (commanders and above). Command staff continue to receive training in integrity, command accountability, and cultural diversity through a series of courses offered by the training academy and the "POLEX" program. In addition, all command staff have received specialized training in managing organizational conflict. To date, 15 of 20 command staff personnel have attended classes on integrity and command responsibility. The mixture of training provided for command staff meets, in the opinion of the auditor, the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.34 Compliance with Task 44: OMI Quality Assurance
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 44 requires the city to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

Current OMI databases have been brought up to date, through the assignment of a temporary data entry clerk. At present, data are available for OMI investigations from 1986 through 1999. Effective last quarter, a new OMI Management Information System is on-line and distributed (through distributed computing processes) to the OMI manager, investigators, and personnel with oversight responsibilities for OMI. The system is effective, and the auditor’s observations of personnel using the system indicates that training in system use is effective, and that management personnel are using the system as it was designed. Upgrades are currently underway for the system, which should make it even more effective in managing OMI caseload.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 45 requires the city to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

Members of the audit team reviewed disciplinary actions of the PBP command staff, and observed discussions among command personnel regarding disciplinary actions at the quarterly COMPSTAR personnel assessment. In addition, members of the audit team assessed DARs for evidence that past record and past performance is considered in assigning discipline. During the twelfth and thirteenth quarters, members of the command staff, using PARS and OMS, identified several members of the bureau for commendations based on their review, in part, of officers’ disciplinary records available in PARS. All records and actions observed by the members of the audit team indicate that the supervisory and command staff routinely access PARS in making disciplinary and performance decisions. The bureau is judged to continue to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 46 requires the city maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the city to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be "identical" to that received by OMI police investigators. The paragraph further requires that the city make the OMI manual available for inspection at PBP facilities and at the OMI office.
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Methodology

During the site visit for the thirteenth quarter, the auditor reviewed the training records for OMI personnel. All new civilian personnel who have not received training at the academy have been scheduled for, or are currently attending, the recruit training process currently underway at the police academy. Also during the thirteenth quarter OMI published its updated investigative manual. This update was completed during the site visit for the twelfth quarter, and was reviewed by the audit team during the thirteenth quarter. All revisions to the manual conform to reasonably accepted practice in the conduct of internal investigations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47: Receipt of Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 47 requires the city to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.

Methodology

The auditor reviewed 47 of 93 final reports of completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were "required" to complete any OMI form prior to receipt of the complaint and initiation of the investigation. None of the 47 files reviewed included any form completed by a complainant. Further, ample evidence exists to support the fact that complaints are received by telephone, letter and facsimile.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page -37

2.38 Compliance with Task 48: Receipt of Anonymous Complaints
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 48 requires that the city accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

Completed OMI complaints were assessed for the source of the complaint. Although no anonymous complaints were resolved this quarter, the city is judged to remain in operational compliance with task 48, based on past performance..

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49: Closure of OMI Investigations

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.
Methodology
The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its
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Page -38

investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. During the thirteenth quarterly review, the auditor found six complaints filed with the Office of Municipal Investigations which were either "officially" withdrawn by the complainant filing the complaint, or in which the complainant refused further cooperation with the Office. All of these complaints were investigated to completion by the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 50 requires the city to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the city publicize the new OMI location.

Methodology

No change in compliance status was noted for this task during the thirteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Page -39

Paragraph 51 precludes the city from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the city to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The city is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings "in all city buildings."

Methodology

The auditor reviewed supporting documentation for 47 of the 93 citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a city facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes, over the telephone, and by meeting individuals at locations convenient to them. Of the 47 cases reviewed this quarter, evidence existed in five cases suggesting that the office routinely makes itself available to citizens "in the field," either at alternative sites, the complainant’s home, or over the telephone. The auditor reviewed attendance logs for OMI’s quarterly meetings (August 16, 2000 through November 15, 2000), and reviewed the OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings.

Records maintained by OMI reflect that the office continues to attend public meetings.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 52 requires the city to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.
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Page -40

Methodology

Notification of supervisory personnel of citizens’ complaints for officers under their command is accomplished through the PARS/OMS systems, and supervisors are held accountable for appropriate action in the quarterly COMPSTAR meetings. The city continues in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation
Q1 Q2 Q3 Q4 Q5

Responsibility for Complaint
Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 53 requires the city to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to "settle" OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.

Methodology

A review of all 93 of the completed OMI investigations for this quarter reveals no evidence to indicate that the city does not remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Officers to Provide Name and Badge Number on Request
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Page -41

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, "Conduct Toward the Public" requires that "when requested by any person, a member shall give his name and badge number in a courteous manner."

Methodology

The auditor reviewed a sample of 47 completed OMI cases for the thirteenth quarter (August 16, 2000 through November 15, 2000) to determine if allegations of failure to provide name and badge number were made to OMI and sustained by investigation. One allegation was completed this quarter; however, the complaint was not sustained. The bureau also sustained one allegation of failure to provide name and badge number during the sixth quarter. The bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.45 Compliance with Task 55: Interview of Complainants at Alternative Sites
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants "off-site," if necessary.
Methodology
The auditor reviewed completed OMI case investigations to determine if interviews were being conducted "off site." Among the 86 completed investigations assessed during this quarter, evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the office.
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Page -42

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: OMI to Tape and Transcribe Interviews
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept "special reports" in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

The OMI manual stipulates a "Tape Recorded Statement Form" and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed 47 of 93 cases completed this quarter by OMI, based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases in which interviews were conducted after resolution of the Fraternal Order of Police’s "test case" on this issue included transcriptions of OMI interviews of officers, witnesses or complainants.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57: OMI Staff Access to PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Page -43

Paragraph 57 stipulates that OMI staff should be provided access to the city’s PARS. The manager of OMI, the intake coordinator and one investigator have been trained in the use of the PARS. The office currently has virtually unlimited access to OMS/PARS to prepare complaint histories, assignment histories, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.48 Compliance with Task 58: OMI to Interview Supervisors at Scenes of Incidents Leading to Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

As with last quarter, one of the 93 OMI case reports which were completed this quarter included an apparent indication that a supervisor was on the scene of the event. This supervisor was interviewed by the office. Based on its past and current performance on this task, the office is deemed to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59: OMI to Canvass for Witnesses
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Page -44

Paragraph 59 requires OMI to canvas the scene of an incident for witnesses "as soon as possible" after receiving a complaint where canvassing could "reasonably yield" additional information.
Methodology
The auditor reviewed 47 of 93 completed OMI cases for the thirteenth quarter (August 16, 2000 through November 15, 2000) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Fifteen of these cases appeared to involve fact situations or locations in which a canvass would potentially produce witnesses. An effective canvass was only twelve of these cases. Three cases yielded information that would cause a reasonably prudent investigator to consider the need to locate additional witnesses. These include the following three cases:

!"AQR-13-H, which contains very limited attempts to contact a named witness who could, potentially, have important information regarding the
accuracy of the complainant’s charges; !"AQR-13-I, which contains no documentation of attempts to locate
witnesses from the crowd, which evidence indicates, was present;

!"AQR-13-M, which describes an investigation which fails to locate and interview off-duty police officers at the scene, and contains no documentation of attempts to locate and interview an individual known to have been at the scene, using a payphone.

The error rate for this task (three of 47 cases reviewed) is calculated to be 20 percent, which exceeds the allowable rate of five percent. The parties have agreed that poor performance in a given task area over two consecutive periods will result in loss of compliance. Continued problems in this area will result in a loss of compliance for this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.50 Compliance with Task 60: OMI to Review Police Shootings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the thirteenth quarter and found three. All of these cases were adequately reviewed by OMI investigators.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: OMI to Aggressively Investigate Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 61 requires that OMI investigators "aggressively" investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.
Methodology
The auditor reviewed 47 of 93 OMI investigations completed from August 16, 2000 through November 15, 2000, to assess the level of completeness of the investigations. The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings
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Page -46
and determinations and reporting. Of the 47 investigations reviewed, four were found to be problematic. These include:
!"AQR-13-H, which contains no documentation of any attempts to locate witnesses who may have been at the scene of the event;
!"AQR-13-I, which contains no documentation of attempts to locate witnesses from the crowd, which evidence indicates, was present;
!"AQR-13-M, which describes an investigation which fails to locate and interview off-duty police officers at the scene, and contains no documentation of attempts to locate and interview an individual known to have been at the scene, using a payphone;
!"AQR-13-R, which includes evidence from a neutral third-party witness that appears to support the complainant’s allegations, but which appear not the be clearly considered in the final report.

An error rate of four cases of 47 reviewed constitutes 8.5 percent, far in excess of the acceptable error rate of five percent. The parties have agreed that poor performance in a given task area over two consecutive periods will result in loss of compliance. Continued problems in this area will result in a loss of compliance for this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.52 Compliance with Task 62: OMI to Act on Behavior "Outside the Four Corners"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled "outside the four corners" of the original complaint.

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Page -47

Methodology

Of the 47 investigations assessed for the thirteenth quarter, three involved potential allegations of "collateral misconduct." All were completely investigated.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.

Methodology

The auditor reviewed final reports of all 64 investigations completed by OMI between August 16, 2000 and November 15, 2000. In addition, the auditor reviewed supporting documentation for 47 of the 93 reports issued this quarter. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Of the 47 final reports completed this quarter, 17 were deemed to require additional investigative work. This constitutes an error rate of more than 36 percent, which obviously falls outside the allowable five percent error rate for completed investigations. Continued problems with the quality of completed investigation will result in loss of compliance in this area. A specific discussion of these 17 cases is included in section 2.51 above. The parties have agreed that poor performance in a given task area over two consecutive periods will result in loss of compliance. Continued problems in this area will result in a loss of compliance for this task.

Status:

Primary: In Compliance Secondary: In Compliance
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Page -48
Operational: In Compliance 2.54 Compliance with Task 64: OMI to be Adequately Staffed
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 64 requires the city to provide OMI with "sufficient staff, funds and resources to perform the functions required" by the decree, and establishes requirements for selection as an OMI investigator.

Methodology

Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree, is relatively easy to define: the office is adequately staffed when the number of completed cases equals the number of cases received by the office, over a protracted period of time. During the thirteenth quarter, the office completed 94 complaint investigations, and received 42. Substantive problems were noted with four investigations completed this quarter, leaving a total of 90 cases cleared and 42 received. This is the second quarter in which completed cases have outnumbered received cases. The total number of cases pending was reduced by 48 this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational
Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

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Page -49

Methodology
The auditor reviewed 47 of 94 OMI investigations completed this quarter, and found one, which apparently do not conform to the preponderance of the evidence standard. AQR-13-R appeared not to meet the required standard of preponderance of the evidence. An error rate of one of 47 cases (2.1 percent) falls within the allowable margin of error for this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.56 Compliance with Task 66: No Preference for Officers’ Statements

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 66 stipulates that "there shall be no automatic preference of an officer’s statement over a complainant’s statement," and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed 47 of the 94 investigations of citizens’ complaints completed during the thirteenth quarter for conformance to this requirement. None of the completed investigations appeared to exhibit a preference for police officers’ statements over those of witnesses. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.57

Compliance with Task 67: OMI Retains Final Investigative

Authority

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between August 16, 2000 and November 15, 2000, searching for a case which resulted in a finding which was "reversed" by a supervisor or senior supervisor. No such cases were found. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Change "Not Sustained" to "Not Resolved"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 68 requires the city to change the OMI disposition category of "Not Sustained"

Methodology

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The auditor assessed all completed OMI investigations for the period of August 16, 2000 to November 15, 2000 to determine if the disposition of "Not Resolved" was appropriately used. None was found. The office is judged to remain in compliance with task 68.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69: OMI to Issue Quarterly Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December, 4 1997, and has been updated annually. The city is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the city is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Auditor to Perform Quarterly Assurance Checks

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

•

OMI final reports;

•

Substance and timeliness of 50 percent of all OMI investigations

completed;

•

Statistical information on the number and types of complaints filed with

OMI;

•

Statistical information on discipline imposed on sustained complaints;

•

Assessments of officer use of force, searches and seizures, and traffic

stops.

Methodology

Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.

Number and Type of Complaints Filed

Complaints filed with OMI over the last seven quarters fall into three categories:
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•

Type 1 (allegations of rules violations);

•

Type 2 (allegations relating to attitude and conduct); and

•

Type 3 (allegations of abuse).

Type 1 allegations include failure to perform, neglect of "ministerial" duties, inaccurate reporting, violation of departmental orders such as those regulating secondary employment, minor events of conduct unbecoming an officer, etc Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self assigned investigations, and failure to perform or neglect of duty "on scene." Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse. Table One, below, depicts the number and type of citizens’ complaints received by OMI during the seven quarters covered by the consent decree.

The data reflected in Table One are presented in Figure One, below, which depicts the percent of complaints received, by type of complaint, by quarter

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 12th Quarters (1997-2000)

Quarter

Type 1

Type 2

Type 3

1

18

9

26

2

22

15

39

3

33

32

59

4

42

19

84

5

33

18

58

6

8

12

24

7

25

1

15

8

14

16

13

9

39

0

35

10

39

60

48

11

18

27

41

12

14

0

14

13

5

30

7

310

239

463

Source: Electronic database provided by City of Pittsburgh, CIS.

Total 54 78 127 149 114 50 48 51 83 157 97 54 32
1094

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Figure One: Average Severity Of Citizens’ Complaints, Quarter 1-13

120 100
80 60 40 20
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12

Type 3 Type 2 Type 1

Average Complaint Severity
Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated for the twelve quarters covered by this report The average (mean) severity of complaints filed with the office are represented in Figure Two, below. As the figure indicates, the average severity of complaints has dropped since the beginning of the consent decree The orange line in Figure Two (and other figures depicted in this report) is a linear regression analysis, designed to allow the reader to determine the "trend line" for a given set of data This trend line shows a stead decline in the severity of complaints filed with the city.
Disposition of Citizens’ Complaints
Complaints investigated by OMI are classified, upon completion, as one of four disposition categories:
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•

Exonerated (evidence indicated that the event occurred, but that the

officer was acting in conformance with the law or PBP policy); !"Not Resolved (not enough information was available to prove or disprove

the allegation); !"Sustained (evidence indicated that the allegations were true); or !"Unfounded (evidence indicated that the allegations did not occur).

Figure Three, below, depicts the rates at which OMI resolved the complaints received during the first thirteen quarters covered by this report The percentage of sustained complaints appears to have risen gradually over the thirteen quarters, as depicted by the orange “trend line” depicted in Figure Three.

Figure Two: Mean Complaint Severity by Quarter (1997-2000)
2.5

2

1.5

1

0.5

0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 q12 q13
Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

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Figure Three: Resolved Complaints by Disposition, by Quarter (1997-2000)

1.00

0.90

0.80

0.70 0.60 0.50 0.40 0.30

Sustained Exonerated Unfounded Not Resolved Linear (Sustaine

0.20

0.10

0.00 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

Rate of Sustained Complaints

The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Four, below The data depicted in Figure Four were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any finding other than “sustained.”

Figure Four reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation As with other data reported in this section, Figure Four deals only with investigations of complaints filed by citizens Complaints investigated by OMI as a result of an internal infraction referred to OMI by the Bureau of Police are not included in these analyses.

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Figure Four: Rate of Sustained Citizens’ Complaints By Quarter (1997-2000)
0.3
0.25
0.2
0.15
0.1
0.05
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Complaints Received and Complaints Cleared The number of citizens complaints received by OMI during the last ten quarters, compared to the number of complaints resolved by the office is reported in Figure Five, below As with all other data reported in this section, these data are also calculated using data provided by the city and “cleaned” by the auditor’s staff. Figure Five reports two categories of data for the thirteen quarters covered by this report The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously) The second category reported identifies the number of complaints resolved by OMI investigation.
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Figure Five: Complaints Received v Complaints Resolved, By Quarter (1997-2000)
160
140
120
100 Cleared Received
80 Linear (Cleared Linear (Receive
60
40
20
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of OMI Investigations Data necessary to calculate the length of OMI investigations for the thirteenth quarter were developed using city electronic databases. Data reflecting the average time required to complete an OMI investigation are reflected in Figure Six, below. The length of time for completing investigations for the thirteenth quarter rose, from 273 days to 290 days. Much of this increase is attributable to the larger number of “backlogged” cases cleared this quarter.
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Figure Six: Average Number of Days Required to Complete OMI Investigations

400 350 300 250 200 150 100
50 0
-50 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

2.62 Compliance with Task 72: of Incomplete OMI Investigations

Auditor to Recommend Reopening

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed all 93 final reports of OMI investigations of citizens’ complaints completed between August 16, 2000 and November 15, 2000. In addition, the auditor conducted a comprehensive review of supporting documentation for 47 cases completed during this time frame. Of those 47 cases, four were remanded to the Office of Municipal Investigations for additional work. These cases are described below.

!"AQR-13-H, which contains no documentation of any attempts to locate witnesses who may have been at the scene of the event;
!"AQR-13-I, which contains no documentation of attempts to locate witnesses from the crowd, which evidence indicates, was present;
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!"AQR-13-M, which describes an investigation which fails to locate and interview off-duty police officers at the scene, and contains no documentation of attempts to locate and interview an individual known to have been at the scene, using a payphone; and
!"AQR-13-R, which includes evidence from a neutral third-party witness that appears to support the complainant’s allegations, but which appear not the be clearly considered in the final report.

2.63

Compliance with Task 73:

City to Prepare Progress Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter The first report was issued July 11, 1997; the second was issued January 16, 1998 The third was issued in July, 1998, etc The auditor has reviewed each of these progress reports The city remains in compliance with the requirements of task

2.64 Compliance with Task 74: City to Maintain Records Necessary Methodology
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

All records requested by the auditor were provided in a timely fashion. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance
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Page -61

2.65 Compliance with Task 75: Unrestricted Access for Auditor
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 75 requires the city to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

The auditor experienced unlimited access during audit processes for the thirteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76:

Unrestricted Access for Justice

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 76 requires the city to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree Further it requires access to staff and facilities upon appropriate notice.

Methodology

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No changes in the access for Justice was noted this quarter. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.67 Compliance with Task 77: Officers

Copies of Consent Decree to All

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 77 of the decree requires the city to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations All such individuals are further required to sign a statement indicating that they have received, read and understand the statement The city is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the city acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the city’s approach to compliance Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.68 Compliance with Task 78:

90 Day Timeline for Conformance

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree
Methodology
Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the PARS. The city is currently in primary compliance with 100 percent of the 74 provisions to which the city should have complied by now The city is in secondary compliance with 74 of the 74 provisions due as of August 15, 1998. It is also in operational compliance with 74 of the 74 tasks, due as of August 15, 1998. This constitutes the second quarter in which the city has been in compliance with 100 percent of the task requirements.

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Page -64 3.0 Summary The city, the bureau and the Office of Municipal Investigations have continued compliance with most elements of the consent decree during the last quarter. The city has maintained a primary compliance rate of 100 percent, a secondary compliance rate of 100 percent, and an operational compliance rate of 100 percent. The city has come into compliance in all areas; however, the city has experienced some difficulty with the quality of OMI investigations. Continued problems with the quality of OMI investigations will result in a loss of compliance in this area.
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 Page -1

1 Introduction

Auditor’s Fifteenth Draft Quarterly Report Quarter Ending May 16, 2001

This document represents the fifteenth of an anticipated 20 "Auditor’s Quarterly Reports" (AQR) assessing the levels of compliance of the City of Pittsburgh (city) with the requirements of the consent decree (decree) entered into between the city and the United States Department of Justice (justice) on April 16, 1997. The document consists of three sections, identified below:
!"Introduction; !"Compliance Assessment; and !"Summary.

The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of "compliance" are described in Section One, "Introduction." Section Two, "Compliance Assessment," includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, "Summary," provides an overall assessment of the city’s performance for this quarter.

1.1

Overall Status Assessment

1.1.2 Dates of Project Deliverables

Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the city; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.

1.2 Format for Compliance Assessment

The AQR is organized to be congruent with the structure of the consent decree. It reports on the city’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated "early warning system," now known to the Bureau of Police as the Performance Assessment and Review System (PARS). The following components of the decree are treated similarly. Compliance is classified as primary, secondary and "operational," with the definitions specified in Section 1.4, below.

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1.3 Compliance Assessment Processes

1.3.1 Structure of the Task Assessment Process

Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:

•

Selection of a random sample, or

•

Selecting all available records of that type.

Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.

The performance of the PBP and the City of Pittsburgh (city) on each task outlined in the consent decree was assessed by the auditor during the quarter ending May 16, 2001. The site visit for this quarterly report was conducted on July 10-13, 2001.

All determinations of status for the city and the PBP are data-based, and were formed by review of the following types of documents:
!"Official PBP documents prepared in the normal course of business; !"Official Office of Municipal Investigations (OMI) documents prepared
during the normal course of business; and/or !"Electronic documents prepared by the city or components of city
government during the normal course of business.

Where practicable, documentation forming the database for this audit was selected by the auditor and the auditor’s staff directly from PBP, OMI or city files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints, were assessed by reviewing OMI files, OMI electronic files, and zone performance files.

1.4

Operational Definition of Compliance

For the purposes of this audit, "compliance" consists of three components: primary compliance, secondary compliance, and operational compliance.
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Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to "comply" as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the bureau.

During the fifteenth quarter of the decree, the city, the bureau and OMI have continued to implement the changes required by the decree. The commitment continues to be to implement both the letter and the spirit of the decree.

1.5 Depicting Compliance Levels

This report uses both a narrative and graphic schema to depict compliance levels with the requirements of the consent decree. The narrative depiction labels compliance in the three categories as follows:

Status:

Primary: Compliance Level Secondary: Compliance Level Operational: Compliance Level

With appropriate compliance levels reported for each level of assessment.

The graphical depiction shows each level of compliance in relation to the time provided by the decree to reach compliance. The figure below depicts compliance levels on a hypothetical task.
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

The solid blue bar indicates

the time allowed by the decree to reach

compliance, in this case, one quarter. The “primary,” “secondary,” and

“operational” task bars indicate the time the agency took to achieve the various

levels of compliance. A vertically patterned light blue bar

indicates

compliance achieved within the time allowed. A checkered yellow-bar

depicts compliance which was achieved in a period of time that was longer

than that allowed by the decree, but which does not, in the opinion of the auditor,

seriously affect the city’s successful compliance with the decree. A horizontally

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patterned orange bar

indicates that compliance was achieved in a

period of time that was longer than that allowed by the decree, and which may

affect eventual compliance. A solid red bar

depicts that compliance

was achieved in a period of time that was longer than that allowed by the decree,

and which, in the opinion of the auditor, does affect eventual compliance.

2

Assessment of Compliance

2.1

Methodology

The auditor assessed the city’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and "operational" (see section 1.4, above).

The following sections of the fifteenth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the city has complied with the 74 tasks to which it agreed on April 16, 1997.

2.2

Assessing Compliance with Task 12: Automate the PBP Early

Warning System (PARS)

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-a of the decree requires the city and the PBP to automate the database tracking system currently in use to assess police officer performance, and to add functionality to the system, transitioning it to an "early warning system" which will assist the bureau in identifying and managing officer performance which may need improvement. The bureau has expanded the EWS concept into a Performance Assessment and Review System (PARS).
Methodology
During the site visit for the fifteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted by obtaining PARS-specific data for the first quarter of
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2001 and reviewing the performance factors for all PBP personnel. As part of this review, data were assessed for all active police officers, assessing particularly the officers whose activity levels were assessed to be one or more standard deviations above the mean for their workgroups in the areas of citizen complaints, search and seizure activity, use of force, discretionary arrests and traffic stop activity. Results of the auditor’s review are noted below.

A review of PARs data by command staff this quarter noted:
!"48 police officers who were continued on monitoring status based on previous indicators from earlier quarterly audits;
!"94 police officers whose performance in the area of warrantless search and seizure fell one or more standard deviations above their work group means;
!"118 officers whose performance in the area of the application of force fell one or more standard deviations above their work group means;
!"63 officers who were selected for review due to combined rankings for sick leave, citizens complaints, missed court, discretionary arrests and other indicators; and
!"Two officers who were the subject of gender or racial bias complaints.

In each of these cases, command staff review was appropriate, and related to the tenets of good supervision. A total of 58 supervisory actions (monitoring, discipline, counseling, etc) were taken by command staff based on this quarter’s COMPSTAR review and associated information. A continued supervisory presence was also noted this quarter compared to last, with clear evidence that supervisory personnel are using PARS, in conjunction with the performance evaluation process, to identify and respond to personnel not in compliance with departmental policies and to prevent possible infractions.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 12-a of the decree requires the city to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.

Methodology

During the site visit for the fifteenth quarterly audit, the auditor reviewed the city’s Performance Assessment and Review System (PARS). PARS is now completely operational, and was used by the PBP command staff to conduct its sixth quarterly analysis during the month of May, 2001. The auditor’s review for the fifteenth quarter was conducted by reviewing 100 percent of the related data included in the PARS. The bureau and the city continue to inspect and audit the records in the PARS, and quality control is an on-going process. During the week of the auditor’s site visit, the command staff conducted its quarterly analysis of PARS data. During that analysis, the command staff reviewed the performance parameters of 315 officers who, based on their performance records during the quarter, fell one or more standard deviations above the mean for their work groups on the various tasks assessed by PARS, or who had higher numbers of overall performance indicators than their peers. From those 315 officers, command staff selected 58 for some form of continued or increased scrutiny, based on their performance over the last quarter. The PARS reports accurately on each of the parameters required by the consent decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-b of the decree requires the city to build into the PARS the ability to retrieve information from the PARS by officer, squad, zone, unit, regarding the execution of "discretionary arrests," traffic stops, searches and seizures, and use of force.

Methodology

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During the site visit for the fifteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. A review of the capabilities of the PARS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. More than 300 separate tests were performed, using the PARS and its supporting OMS. The OMS reported accurately in each of the tests, and the PARS accurately reflected the data contained in the OMS.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-c of the decree requires the city to archive the records in the PARS for three years after the involved officers’ separation from service, and requires that all records be archived indefinitely. In addition, it requires the city to enter all relevant data for three years prior to April 16, 1997.

Methodology

During the site visit for the fifteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. Data continue to be entered as required by the decree. The auditor found no instances of data being purged from the PARS in conflict with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-d requires the city to develop a protocol for use of the PARS that would:
!"Establish trigger thresholds for review of officer records by senior supervisors;
!"Establish requirements for frequency of review of officer records by senior supervisors;
!"Establish the types of corrective actions to be taken by senior supervisors; !"Establish confidentiality and security provisions for the PARS; !"Establish requirements for quality assurance checks of data input; and !"Have the protocol submitted for review 30 days before implementation.

Methodology

During the site visit for the fifteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted using a live database from the operational PARS.

Now that the PARS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the PARS by the consent decree. The operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer performance, in compliance with the requirements of the decree. Command staff use PARS and supporting systems to conduct quarterly analysis of personnel performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
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2.3

Assessing Compliance with Task 13: Developing a Use of

Force Policy

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 13 requires the city to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the city to submit the policy to justice for approval prior to implementation.

Methodology

Further, the auditor conducted a thorough review of a random sample of 7.6 percent of 169 Subject Resistance Reports generated by PBP personnel during the quarter. The review conducted by the auditor indicates an acceptable level of command review. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 14 requires the city to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip

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searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.

Methodology

The auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and found five that reported a strip search. All of these searches were approved in advance by supervisory personnel, and were conducted in locations expressly approved for such procedures. All strip searches were conducted in accordance with policy, although the auditor did note reporting problems with three of the searches (see section 2.5, below)

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.5

Assessing Compliance with Task 15: Written Reports of

Specific Police Actions

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 15 requires the city to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
Methodology
The auditor reviewed a randomly selected sample of Subject Resistance Reports (SRRs) and Field Contact/Search/Seizure Reports (FCSSRs) to assess the level of accuracy of reporting and supervisory review for these reports. A 7.6 percent sample of 169 SRRs written during the fifteenth quarter was selected for review. In addition an eight percent sample of 576 completed search and seizure reports was selected for review. A 100 percent sample of five strip searches was selected for review. While these samples are lower than in past audit cycles, this reflects eight straight quarters of 100 percent compliance on these tasks. All of the reports (with the exception of three strip search reports) reviewed this quarter were found to be in compliance with the requirements for search and seizure and use of force reporting. For the first time in seven quarters, the auditor found evidence of reporting problems with strip search processes reported by
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bureau personnel. Of the five searches reported, one used problematic language, noting that during a pat-down search of a suspect, the officer felt a bulge in the suspect’s trousers which he “immediately recognized as a package containing cocaine.” While the officer would have certainly suspected the presence of drugs, based on his training and experience, it is not possible, by touch alone, to “immediately recognize” cocaine. Supervisory review failed to note this problem. A second report was an example of poor reporting, relating to “reason to suspect” an individual not under arrest might be carrying a weapon. A third report, a verbal “consent” did not make it clear that the required warnings were read to the suspect, possibly resulting in a consent search that may not have been knowingly consented to. Supervisory review did not note these problems. The error rate, however, remains within the acceptable margin of error, with only three problematic reports noted from among 750 reports reviewed, and error rate of 0.004 percent.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.6

Assessing Compliance with Task 16: Reporting Traffic Stops

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 16 requires the city to establish reporting requirements each time a police officer makes a traffic stop. The city has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The bureau has begun collecting traffic stop data, using the form designed by the city. These data are available at the Zones, and have been entered into the PARS. The eighth quarter was the first quarter in which detailed assessment of traffic stop information was possible, as the tabular data from the PARS regarding traffic stops was available through the PARS as of this audit cycle.
Methodology
Traffic stop data for 4,421 stops were assessed by the monitoring team during the fifteenth quarter. The auditor found the traffic stop data to accurately reflect information included in the COMPSTAR review conducted by command staff. In
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addition, the audit team noted that the bureau has initiated disciplinary proceedings against at least one officer this quarter for failure to report traffic stops in accordance with bureau policy (the same number as last quarter). This is the second quarter in which disciplinary proceedings have been noted for failure to complete traffic stop reports. Discipline assigned by the bureau for these infractions, in both cases, was a suspension of five days, pending termination. The bureau is judged to be in compliance with this task based on current and past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the PARS
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 17 requires the city to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The city has developed protocols requiring entry of data as required by the consent decree.

Methodology

The auditor has reviewed these protocols and found them to be acceptable. During his fifteenth quarterly site visit, the auditor tested data entry protocols by performing more than 100 individual tests of the system. The PARs and OMS reported accurately in each of these tests.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.8

Assessing Compliance with Task 18: Audits of Use of Force

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 18 requires the city to cause supervisors and senior supervisors to conduct "regular audits" of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.

Methodology

The auditor reviewed a 7.6 percent sample of the 169 completed SRRs for the quarter. Each report was appropriately reviewed by command staff, and reports incorrectly completed were noted and re-routed for remediation. No errors were noted in the SRRs reviewed by the auditor.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. The bureau continues to complete quarterly analyses of use of force data, using the Officer Management System and PARS. The analysis identified use of force trends, as well as focusing on officers who recorded higher than average use-of-force rates. The command staff used the OMS and PARS to identify officers receiving complaints of excessive force, officers who had higherthan average levels of use-of-force rates in any one of the past four quarters, and to assess overall trends in use of force. These assessments became part of the quarterly "Computer Statistical Trend Analysis and Review" (COMPSTAR) meeting minutes, along with recommendations for counseling, retraining or other
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solutions to issues raised with specific officers’ use of force practices. Protocols require follow-up at the next quarterly PCS meeting to evaluate the effectiveness of these solutions.

Methodology

Using the PARS/OMS system, the auditor identified, during the fifteenth quarterly audit, 94 officers whose use of force statistics (or associated activity levels) were one or more standard deviations higher than their group norms, and who, in the auditor’s opinion, required further scrutiny. All zone commanders checked subject resistance report data as part of their routine quarterly analysis, and all 94 of the officers identified by the auditor were also noted by zone commanders. The increase in the rate of officers noted by the auditor this quarter, over previous quarters is due to the fact that, during the thirteenth and fifteenth quarters, the auditor reviewed a 100 percent sample of SRR reports (electronically, using PARS data), rather than selecting a sample for review. Command staff selected five officers for increased scrutiny, based on their review of use-of-force performance factors this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9

Compliance with Task 19-a: Review Search and Seizure

Reports through Chain of Command

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-a requires the city to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.
Methodology
During the site visit for the fifteenth quarter, the auditor selected a random sample of 7.6 percent of 576 FCSSRs completed during the quarter. Each of these reports was analyzed to ensure the report met the requirements of task 19-
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a. Further, each of the selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the reports was assessed, and supporting documentation, where available, was reviewed. The bureau continues to note incidents of poor reporting, when they occur, and continues to retrain officers who exhibit problematic reporting on search and seizure events.

Of the reports reviewed, none were judged to be problematic. The error rate for FCSSRs for the fifteenth quarter is zero. This is attributable, in part, to the internal review process established by the bureau, as well as increased scrutiny of FCSSRs by zone supervisors.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-b requires the city to analyze the search and seizure activity of its officers on a quarterly basis.
Methodology
Command staff used search and seizure data, generated by PARS, to assess officers’ performance, identifying officers who were above average in this category. These officers were noted to be of two types: those who were active in search and seizure processes, but whose reports indicated no problematic behavior, and those whose activities indicated additional training, counseling, or supervision. The command staff selected the first group of officers for potential commendation, and the second group for potential remediation.
Using the PARS/OMS, the auditor identified 118 officers whose FCSSR data fell one or more standard deviations above the mean for their work groups. All of the zone commanders reviewed each officer under their command whose FCSSR data exceeded work group norms by one or more standard deviation. This review included a thorough review of both electronic data, and a review of actual
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FCSSRs completed by these officers. The command staff review noted each of the 118 officers identified, independently, by the auditor as indicating a need for further scrutiny. The increase in numbers of officers identified by the auditor is due to the fact that, during the last three quarters, the auditor drew a 100 percent sample of PARS FCSSR data for analysis. Command staff selected four officers for additional scrutiny, based on a review of their performance factors.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-a requires the city to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial or gender bias. During the fifteenth quarter, two allegations of racial or gender bias on the part of bureau officers were completed by OMI, and forwarded to the bureau for review during the fifteenth quarter. Racial bias complaints are monitored closely by command staff, and each quarterly COMPSTAR review includes a discussion of the status of these complaints, as well as the nature of the review conducted pursuant to the policy outlining PARS protocols for racial bias complaints.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-b requires supervisors to use the PARS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. The bureau, during the week of August 2, 1999, developed a specific protocol for quarterly analysis of potential indicators of racial bias. The protocol requires the command staff to review an officer’s complete PARS file if any of eight events involving the officer occur during any given quarter.

These events include:

•

Notation on the Supervisor’s Daily Activity Report (SDAR) of any

indication of racial or gender bias on the part of a given officer;

•

A complaint by a supervisor of racial or gender bias against an officer;

•

A peer compliant of racial or gender bias;

•

An OMI complaint of racial or gender bias;

•

Filing of a lawsuit, in which the officer is named, contending racial or

gender bias;

•

Any indication, during a normal review of routine police reports (offense

reports, arrest reports, search and seizure reports, subject resistance

reports, etc.) that an officer indicates potential racial or gender bias;

•

Comments made by an officer indicating racial or gender bias; or

•

A non-OMI complaint of gender or racial bias.

The quarterly analysis conducted by command staff during the week of May 12, 2001 identified two officers with at least one of these "trigger" events. Each of the two events was analyzed by command staff in accordance with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary
Operational
Paragraph 21-a requires the city to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a two-year period, or five or more complaints in a two-year period.
Methodology
The auditor reviewed all discipline imposed by the bureau for the fifteenth quarter. Based on records obtained from the office of the chief of police, eight individual disciplinary actions, involving citizens’ complaints, were taken by the bureau during the period of time covered by this report. The auditor reviewed all disciplinary actions reported for the fifteenth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline.
Based on the protocols of progressive discipline, the bureau is responding within its anticipated range of responses in delivering discipline. Offenses recorded for these eight disciplinary actions included:
!"Failure to complete Track III requirements; !"Failure to report a traffic stop; !"Unprofessional conduct; and !"Truthfulness.
Discipline for the eight incidents involving interactions with the public included:
!"Oral reprimands; !"Written reprimands; !"Anger management training; !"Demotion; !"One day suspension; and !"Five day suspension pending termination.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 21-b requires the city to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on review of officer behavior.

Methodology

The auditor reviewed the bureau’s disciplinary processes for February 16, 2000 to May 15, 2001. The bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the bureau included retraining , counseling, and other appropriate forms of "retraining" and "counseling."

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.2

Compliance with Task 21-c: Consider Prior Record in

Determining Discipline

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 21-c requires the city to consider an officer’s prior record in determining discipline.

Methodology

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According to records provided by the bureau and the Office of Municipal Investigations, 24 individual disciplinary actions were taken by the bureau this quarter. Each of the 24 disciplinary actions taken by the bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. Three of the disciplinary actions taken this quarter indicated a modification to discipline based on past record.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 22 requires the PBP to establish disciplinary action files, or "performance files" at the zone level.

Methodology

During the site visit for the fifteenth quarterly report, members of the monitoring team reviewed performance files and supervisory daily activity reporting at five zones (One, Five and SDD) Partial audits of both the supervisory daily activity reporting systems were conducted during the fifteenth site visit. Supervisory activity remains at acceptable levels, with officers (and some supervisory personnel) selected for “monitoring” showing an active supervisory review of their activities. Minor problems with “canned language” and insufficient detail in supervisory reports at SDD were noted.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

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2.13 Compliance with Task 23: Annual Performance Evaluation
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 23 requires the city to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

No performance evaluations were audited during this quarter. During the course of the thirteenth quarterly audit, a total of seven police officers’ files were reviewed in detail. Each contained performance evaluations completed in accordance with established policy. This 100 percent compliance follows similar audits during previous site visits in which the performance assessment forms were present in all files reviewed.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 24 requires the city to use performance evaluations as a factor in promotional decisions.
Methodology
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The bureau has promoted several officers to sergeant, lieutenant, or commander during the 15th quarter. A complete audit of performance evaluations will be conducted during the 16th quarterly site visit. The bureau remains in compliance
based on the review conducted for the thirteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.15 Compliance with Task 25: Provision of an Employee Assistance Program
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 25 requires the city to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.

Methodology

Evidence continues to exist to support the bureau’s operational compliance with paragraph 25. Reviews of zone "performance files" indicate that the EAP is being used by departmental personnel and departmental managers. Bureau discipline continues to use the EAP as part of its progressive discipline campaign. The city continues to sponsor EAP-related forums and to advertise the availability of EAP offerings. One employee was placed on extensive “Track III” employee assistance during the fifteenth quarter, in lieu of termination, and two employees were suspended for five days (pending termination) for violation of their Track III agreements.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.16 Compliance with Task 26: Notification of Adverse Involvement
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 26 requires the city to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the city to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

A review of Bureau records indicates that the bureau continues to monitor its officers’ activities for adverse involvement. The bureau’s records included notice regarding pending civil litigation (not related to duty incidents), and filed civil court orders. Discipline during the 13th quarter involved one incident of disciplinary action for failure to provide notice of adverse involvement. No finding of liability was noted this quarter. No incidents of adverse involvement were noted this quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.
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Methodology

The bureau has established an agreement with the district attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearings lost as a result of illegal activity. Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum "detailing the results of the hearing."

PBP policy calls for these memoranda to be forwarded to OMI for their review. Based on concerns expressed by the auditor that the DA’s office has forwarded no notifications of lost suppression hearings, etc., the chief of police has modified the reporting practice between the district attorney and the bureau. Court liaison personnel have begun to specifically inquire monthly, about allegations of false arrest or improper searches on the part of PBP officers. During the fifteenth quarter, three such inquiries were made of the DA’s staff. The auditor reviewed reports of these inquiries, which noted no lost suppression hearings due to poor probable cause, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.18 Compliance with Task 28: Sanctions for Officers Involved in Settled Litigation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 28 requires the city to implement appropriate discipline "as the circumstances and OMI investigation warrant," in all instances in which PBP officers are the subject of civil litigation.
Methodology
Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation noted during the fifteenth quarter, and none was found. During the sixth quarterly audit, however, the department received notification of settled
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litigation involving two Bureau officers. During the seventh quarter, this case was reviewed by command staff, and disciplinary action was taken in April, 1999. It is clear from the review that the bureau continues to be in compliance with this task.

Status:

Primary: In Compliance

Secondary: In Compliance

Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 29 requires the city to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

Methodology

The auditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the bureau, publishing legal bulletins, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

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2.20 Compliance with Task 30: Develop a Rotation Schedule
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP continues to implement its rotation plan. The plan, supported by Chief’s Memo 97-550, requires routine consent-decree transfers in January of each year. Each January since implementation of this policy, the bureau has transferred sufficient numbers of personnel to remain in compliance with this task. In January, 2001, the bureau transferred a total of 77 officers and supervisors. In addition, during the thirteenth quarter, the bureau transferred all but two of its commanders, assigning each to new duties. No transfers related to this requirement were made this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational
Paragraph 31 requires the PBP to "make every effort" to participate in community meetings, including those oriented toward minority groups.
Methodology
The auditor reviewed monthly attendance logs for police zones for the months of February 16, 2000 to May 15, 2001. The logs show multiple community
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meetings attended by PBP personnel. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the city to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. The city continues to air television "spots" highlighting the function and process of the Office of Municipal Investigations. The city has also printed a brochure explaining the OMI function and has distributed the brochure to all of the city’s community organizations and placed these brochures in all city buildings. Television PSAs have been revised, but not reviewed by the auditor, as of this writing.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.23 Compliance with Task 33: Provision of Training in Cultural Diversity
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 33 requires the city to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.

Methodology

The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted three site-visits of the training academy, and have interviewed many of the personnel assigned to the training academy. The bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 2001, the bureau has continued to train its officers in the topics of cultural diversity, "effective communication" and ethics.

Status:

Primary: In Compliance
Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 34 requires the city to establish monitoring systems which will assess citizen’s complaints for indicators of needs in training or re-training. The bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.

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Methodology

In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports. In addition, the auditor reviewed the academy’s quarterly training assessment report.

It continues to be clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the past seven quarters, training academy staff completed a review of citizen’s complaints and use of force reports with the aim of improving, where applicable, training curricula. Reports from the academy continue to be reviewed, assessed and critiqued by command staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 35 requires the city to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de escalation training "into all other training that implicates the use of force."

Methodology

To date, for the training year 2001, the bureau continues to train its eligible officers (excluding officers on extended medical or similar leave, and thus not performing police duties) in "verbal judo" and/or tactical communications. The bureau-wide process of reviewing all use-of-force curricula has been completed, and a new "use of force" training curriculum has been implemented by the bureau.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance
2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 36 requires the city to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation "at the beginning of the training curriculum to serve as a foundation for all other classes. The recruit curriculum offered "ethics" training and "verbal judo" in week one, and cultural diversity in week two. Additional training in weeks 21 and 23 cover additional topics in cultural diversity and verbal judo. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 37 requires the city to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.
Methodology
The auditor has reviewed the bureau’s curriculum outlines for cultural diversity and ethics. According to academy records, all of the department’s sworn personnel have received training in ethics through the bureau’s new "career and personal survival" training component. The bureau has contracted with a
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nationally-recognized provider of training in police ethics, and has substantially revised the curriculum for the 2000 calendar year. The latest ethics training was conducted as part of the State of Pennsylvania’s mandatory training cycle. During the tenth quarter, the bureau received accreditation from the National Institute of Ethics. The agency’s eligible officers (excluding those officers on extended leave) continue to receive the state’s mandated “Leadership and Integrity” class during the 2001 training year.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 38 requires the city to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

Based on a review of the training records, the department has trained all of its officers in the OMI process, with the exception of officers who are on extended leave. All new recruits receive the training regarding the OMI complaint process as part of the academy training program.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.29 Compliance with Task 39: Encourage Qualified FTO
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 39 requires the city to recruit "highly qualified" Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the city to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.

Methodology

The bureau has added 25 new FTOs to its complement of training officers in order to provide field training for two sections of recruits currently working through the training process. Discussion at the last quarterly COMPSTAR meeting addressed methods for ensuring that quality FTOs are recruited, trained and deployed. The auditor will conduct a complete assessment of the personnel files of these 25 officers during the 16th quarter. The agency remains in compliance with this task, based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40: Train all FTOs and Instructors

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 40 requires the city to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the city require FTOs and instructors to "demonstrate on a regular basis, their proficiency in their areas of instruction."
Methodology
The bureau has trained an additional 25 officers as instructors/FTOs, using its five-day “Instructor Development” training syllabus previously approved by the audit team. The academy has made no changes in its evaluation processes used to assess the effectiveness of the FTO program, which has been previously approved by the audit team.

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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 41 requires the city to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”

Methodology

A review of training records for the fifteenth quarter indicates the academy has continued its established processes for maintenance of training records. A full on-site review of training records was conducted by the audit team during the 13th quarter. No discrepancies were noted in training records. All instructors’ files reviewed contained certifications to teach the topics which they were teaching, and no missing data or other irregularities were noted.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42: Document Mandatory Counselings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 42 requires the city to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.
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Methodology

During the auditor’s review of data for the fifteenth quarterly report, the audit team reviewed the department’s centralized file that is used to document mandatory counseling sessions ordered this quarter for PBP personnel. The Bureau continues to use, and document, mandatory counseling as part of its disciplinary processes, and documents these counselings in files maintained in the office of the chief of police. A total of 15 mandatory counselings were issued by the bureau this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Annual Supervisory and Leadership Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 43 requires the city to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors (commanders and above). Command staff continue to receive training in integrity, command accountability, and cultural diversity through a series of courses offered by the training academy and the "POLEX" program. In addition, all command staff have received specialized training in managing organizational conflict. The mixture of training provided for command staff meets, in the opinion of the auditor, the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.34 Compliance with Task 44: OMI Quality Assurance
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 44 requires the city to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

The current OMI database is an effective management tool. Upgrades are currently underway for the system, which should make it even more effective in managing OMI caseload.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 45 requires the city to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

Members of the audit team reviewed disciplinary actions of the PBP command staff, and observed discussions among command personnel regarding disciplinary actions at the quarterly COMPSTAR personnel assessment. In addition, members of the audit team assessed DARs for evidence that past record and past performance is considered in assigning discipline. During the 12th and 13th quarters, members of the command staff, using PARS and OMS, identified several members of the bureau for commendations based on their review, in part, of officers’ disciplinary records available in PARS. All records and actions observed by the members of the audit team indicate that the supervisory and command staff routinely access PARS in making disciplinary and performance decisions. The bureau is judged to continue to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 46 requires the city maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the city to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be "identical" to that received by OMI police investigators. The paragraph further requires that the city make the OMI manual available for inspection at PBP facilities and at the OMI office.
Methodology
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During the site visit for the fifteenth quarter, the auditor reviewed the training records for OMI personnel. All new civilian personnel who have not received training at the academy have been scheduled for, or are currently attending, the recruit training process currently underway at the police academy. Also during the twelfth quarter OMI published its updated investigative manual. This update was completed during the site visit for the twelfth quarter, and was reviewed by the audit team during the thirteenth quarter. All revisions to the manual conform to reasonably accepted practice in the conduct of internal investigations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47: Receipt of Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 47 requires the city to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.

Methodology

The auditor reviewed 32 of 461 final reports of completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were "required" to complete any OMI form prior to receipt of the complaint and initiation of the investigation. None of the 32 files reviewed included any form completed by a complainant. Further, ample evidence exists to support the fact that complaints are received by telephone, letter and facsimile.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

1 Cases logged as cleared during the 15th quarter include 17 cases actually cleared during the 14th quarter, but not included in the auditor’s review of OMI cases.
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2.38 Compliance with Task 48: Receipt of Anonymous Complaints
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 48 requires that the city accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

Completed OMI complaints were assessed for the source of the complaint. One anonymous complaint was resolved this quarter, and it was as completely investigated as possible. The city is judged to remain in operational compliance with task 48.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49: Closure of OMI Investigations

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.
Methodology
The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. During the
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fifteenth quarterly review, the auditor found two complaints filed with the Office of Municipal Investigations which were either "officially" withdrawn by the complainant filing the complaint, or in which the complainant refused further cooperation with the Office. Both of these complaints were investigated to completion by the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8

Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 50 requires the city to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the city publicize the new OMI location.

Methodology

No change in compliance status was noted for this task during the fifteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 51 precludes the city from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the city to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The city is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings "in all city buildings."

Methodology

The auditor reviewed supporting documentation for 32 of the 46 citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a city facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes, over the telephone, and by meeting individuals at locations convenient to them. Of the 32 cases reviewed this quarter, evidence existed in eight cases suggesting that the office routinely makes itself available to citizens "in the field," either at alternative sites, the complainant’s home, or over the telephone. The auditor reviewed attendance logs for OMI’s quarterly meetings (February 16, 2000 through May 15, 2001), and reviewed the OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings. Records maintained by OMI reflect that the office continues to attend public meetings.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational
Paragraph 52 requires the city to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.
Methodology

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Notification of supervisory personnel of citizens’ complaints for officers under their command is accomplished through the PARS/OMS systems, and supervisors are held accountable for appropriate action in the quarterly COMPSTAR meetings. The city continues in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation
Q1 Q2 Q3 Q4 Q5

Responsibility for Complaint
Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 53 requires the city to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to "settle" OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.

Methodology

A review of all 46 of the completed OMI investigations for this quarter reveals no evidence to indicate that the city does not remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Officers to Provide Name and Badge Number on Request
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, "Conduct Toward the Public" requires that "when requested by any person, a member shall give his name and badge number in a courteous manner."

Methodology

The auditor reviewed a sample of 32 completed OMI cases for the fifteenth quarter (February 16, 2000 through May 15, 2001) to determine if allegations of failure to provide name and badge number were made to OMI and sustained by investigation. One allegation was completed this quarter, the same number received during last quarter. The complaint was sustained. The bureau also sustained one allegation of failure to provide name and badge number during the sixth quarter. The bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.45 Compliance with Task 55: Interview of Complainants at Alternative Sites
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants "off-site," if necessary.
Methodology
The auditor reviewed completed OMI case investigations to determine if interviews were being conducted "off site." Among the 32 completed investigations assessed during this quarter, evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the office.

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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: OMI to Tape and Transcribe Interviews
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept "special reports" in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

The OMI manual stipulates a "Tape Recorded Statement Form" and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed 32 of 46 cases completed this quarter by OMI, based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases in which interviews were conducted after resolution of the Fraternal Order of Police’s "test case" on this issue included transcriptions of OMI interviews of officers, witnesses or complainants.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57: OMI Staff Access to PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 57 stipulates that OMI staff should be provided access to the city’s PARS. The manager of OMI, the intake coordinator and one investigator have been trained in the use of the PARS. The office currently has virtually unlimited access to OMS/PARS to prepare complaint histories, assignment histories, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.48 Compliance with Task 58: OMI to Interview Supervisors at Scenes of Incidents Leading to Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

None of the 32 OMI case reports which were completed this quarter included an apparent indication that a supervisor was on the scene of the event. The city is deemed to be in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59: OMI to Canvass for Witnesses
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 59 requires OMI to canvas the scene of an incident for witnesses "as soon as possible" after receiving a complaint where canvassing could "reasonably yield" additional information.

Methodology
The auditor reviewed 32 of 46 completed OMI cases for the fifteenth quarter (February 16, 2000 through May 15, 2001) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Four of these cases appeared to involve fact situations or locations in which a canvass would potentially produce witnesses; however, all were “backlogged” cases which were, on average, over three years old. A canvass was not conducted for these four cases, based on the OMI manager’s judgment that such canvasses would not be productive three years after the event occurred. Based on the facts of these cases, the auditor concurs with the OMI manager’s judgment regarding canvasses in these cases. While the city remains in compliance with this task— due to the difficulty of canvassing for witnesses in three-year old investigations— the city should continue its efforts to identify and locate all possible witnesses to events giving rise to citizen complaints.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60: OMI to Review Police Shootings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational
Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.
Methodology
The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the fifteenth quarter and found two, the same number as last quarter. Both of these cases were adequately reviewed by OMI investigators.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: OMI to Aggressively Investigate Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15

Primary Secondary Operational

Paragraph 61 requires that OMI investigators "aggressively" investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed 32 of 46 OMI investigations completed from February 16, 2001 through May 15, 2001, to assess the level of completeness of the investigations. The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting. Of the 32 investigations reviewed, all were found to have been appropriately investigated; however, two had final narrative reports that required additional explanation from OMI personnel to allow the auditor to come to a final assessment of the quality of the investigation. These two cases are discussed in section 2.53, below.

All cases reviewed this quarter were “aggressively investigated,” even though there were some reporting problems in two of the cases. The city is judged to be in compliance with this task this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.52 Compliance with Task 62: OMI to Act on Behavior "Outside the Four Corners"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled "outside the four corners" of the original complaint.

Methodology

Of the 32 investigations assessed for the fifteenth quarter, four involved potential allegations of "collateral misconduct." All four of these were completely investigated..

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15
Primary Secondary Operational

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.
Methodology

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Page -48

The auditor reviewed final reports of all 46 investigations completed by OMI between February 16, 2000 and May 15, 2001. In addition, the auditor reviewed supporting documentation for 32 of the 46 reports issued this quarter. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Of the 32 case reports reviewed this quarter, two were deemed to require additional investigative work.
!"AQR15-D, which involved a failure to document appropriately the rationale for unfounding the allegations that an arrestee was kicked by officers after being taken to the ground and handcuffed. Contradictory statements and police reports are not clarified or explained in the OMI report.

!"AQR15-B, which involved evidence that indicates that an officer pulled his weapon and held it in the low ready position because an individual approached him with “clenched fists.” The investigation contained contradictory statements, and does not dispose of the acknowledgement of the officer that he “pushed on the back of [the suspect’s] shoulders” with his foot after a takedown.

This constitutes an error rate of 6.3 percent, which obviously falls outside the allowable five percent error rate for completed investigations. This is the third consecutive quarter in which the city has demonstrated problems in this task area. Accordingly, the City is judged not to be in compliance with the elements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 64 requires the city to provide OMI with "sufficient staff, funds and resources to perform the functions required" by the decree, and establishes requirements for selection as an OMI investigator.
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Methodology

Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree, is relatively easy to define: the office is adequately staffed when the number of completed cases equals the number of cases received by the office, over a protracted period of time. During the fifteenth quarter, the office completed 46 complaint investigations, and received 562. Substantive problems were noted with two investigations completed this quarter, leaving a total of 44 cases cleared and 56 received.. The total number of cases pending was increased by 12 this quarter. Of 599 cases originally included in the “backlogged” case files, according to OMI data, 212 of those have been completed. More than 64 percent of the original backlog remains, although many of these complaints are lodged against officers no longer with the department, and a large percentage involve minor complaints. Nonetheless, these cases remain to be resolved.

This is the first quarter in the last two in which OMI has cleared fewer cases than it received. This appears to be due to both an increase in the number of complaints received, and a possible diminution in the rate at which cases are cleared. Pursuant to an agreement between the parties, once compliance has been attained, failure to comply for two quarters in a row will result in loss of compliance status. The city is urged to monitor closely incoming and cleared citizens’ complaints, so as to continue to reduce the number of outstanding complaints.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

2 Cases logged as cleared during the 15th quarter include 17 cases actually cleared during the 14th quarter, but not included in the auditor’s review of OMI cases.
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Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology
The auditor reviewed 32 of 46 OMI investigations completed this quarter, and found one, which apparently did not conform to the preponderance of the evidence standard (AQR15-D). An error rate of one of 32 cases (3.1 percent) falls within the allowable margin of error for this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.56 Compliance with Task 66: No Preference for Officers’ Statements

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 66 stipulates that "there shall be no automatic preference of an officer’s statement over a complainant’s statement," and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed 32 of the 46 investigations of citizens’ complaints completed during the fifteenth quarter for conformance to this requirement. None of the completed investigations appeared to exhibit an automatic preference for police officers’ statements over those of witnesses. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.57

Compliance with Task 67: OMI Retains Final Investigative

Authority

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between February 16, 2000 and May 15, 2001, searching for a case that resulted in a finding which was "reversed" by a supervisor or senior supervisor. No such cases were found. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Change "Not Sustained" to "Not Resolved"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 68 requires the city to change the OMI disposition category of "Not Sustained"
Methodology
The auditor assessed all completed OMI investigations for the period of February 16, 2000 to May 15, 2001 to determine if the disposition of "Not Resolved" was
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appropriately used. None was found. The office is judged to remain in compliance with task 68.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69: OMI to Issue Quarterly Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

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Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit has been issued, dated December, 4 1997, and has been updated annually. The city is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the city is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Auditor to Perform Quarterly Assurance Checks

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

•

OMI final reports;

•

Substance and timeliness of 50 percent of all OMI investigations

completed;

•

Statistical information on the number and types of complaints filed with

OMI;

•

Statistical information on discipline imposed on sustained complaints;

•

Assessments of officer use of force, searches and seizures, and traffic

stops.

Methodology

Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.

Number and Type of Complaints Filed

Complaints filed with OMI over the last 15 quarters fall into three categories:

•

Type 1 (allegations of rules violations);

•

Type 2 (allegations relating to attitude and conduct); and

•

Type 3 (allegations of abuse).

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Type 1 allegations include failure to perform, neglect of "ministerial" duties, inaccurate reporting, violation of departmental orders such as those regulating secondary employment, minor events of conduct unbecoming an officer, etc Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self assigned investigations, and failure to perform or neglect of duty "on scene." Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse. Table One, below, depicts the number and type of citizens’ complaints received by OMI during the fourteen quarters covered by the consent decree.

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 15th Quarters (1997-2001)

Quarter

Type 1

Type 2

Type 3

1

18

9

26

2

22

15

39

3

33

32

59

4

42

19

84

5

33

18

58

6

8

12

24

7

25

1

15

8

14

16

13

9

39

0

35

10

39

60

48

11

18

27

41

12

14

0

14

13

5

30

7

14

4

11

15

15

16

8

32

330

256

510

Source: Electronic database provided by City of Pittsburgh, CIS.

Total 53 76 124 145 109 44 41 43 74 147 86 28 42 30 56
1098

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Average Complaint Severity Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated for the fifteen quarters covered by this report. The average (mean) severity of complaints filed with the office are represented in Figure One, below. As the figure indicates, the average severity of complaints has dropped since the beginning of the consent decree The orange line in Figure One (and other figures depicted in this report) is a linear regression analysis, designed to allow the reader to determine the "trend line" for a given set of data. This trend line shows a steady decline in the severity of complaints filed with the city.
Figure One: Average Severity Of Citizens’ Complaints, Quarter 1-15
2.5
2
1.5
1
0.5
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 q12 q13 Q14 Q15
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Disposition of Citizens’ Complaints
Complaints investigated by OMI are classified, upon completion, as one of four disposition categories:
!"Exonerated (evidence indicated that the event occurred, but that the officer was acting in conformance with the law or PBP policy);
!"Not Resolved (not enough information was available to prove or disprove the allegation);
!"Sustained (evidence indicated that the allegations were true); or !"Unfounded (evidence indicated that the allegations did not occur).
Figure Two, below, depicts the rates at which OMI resolved the complaints received during the first fifteen quarters covered by this report The percentage of sustained complaints appears to have risen gradually over the fifteen quarters, as depicted by the orange “trend line” depicted in Figure Three.
Figure Two: Resolved Complaints by Disposition, by Quarter (1997-2001)

0.70 0.60 0.50 0.40 0.30 0.20 0.10 0.00
Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15

Sustained Exonerated Unfounded Not Resolved Linear (Sustaine

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

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Rate of Sustained Complaints
The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Three, below The data depicted in Figure Three were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any finding other than “sustained.”
Figure Three reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation. As with other data reported in this section, Figure Three deals only with investigations of complaints filed by citizens. Complaints investigated by OMI as a result of an internal infraction referred to OMI by the Bureau of Police are not included in these analyses. The precipitous drop in the rate of sustained complaints, at times observable in these data, can, in part, be attributable to the inclusion of “backlog” cases in cleared cases each quarter. Some of these “backlog” cases were nearly three years old. Obviously, it is difficult to locate witnesses and to clearly determine facts in older cases.
Figure Three: Rate of Sustained Citizens’ Complaints By Quarter (1997-2001)
0.3
0.25
0.2
0.15
0.1
0.05
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15
Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
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Complaints Received and Complaints Cleared
The number of citizens complaints received by OMI during the last fifteen quarters, compared to the number of complaints resolved by the office is reported in Figure Four, below As with all other data reported in this section, these data are also calculated using data provided by the city and “cleaned” by the auditor’s staff.
Figure Four reports two categories of data for the fifteen quarters covered by this report The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously) The second category reported identifies the number of complaints resolved by OMI investigation.
Figure Four: Received v. Cleared Complaints By Quarter (1997-2001)

160 140 120 100
80 60 40 20
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15

Cleared Received Linear (Cleared Linear (Received

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

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Length of OMI Investigations
Data necessary to calculate the length of OMI investigations for the fifteenth quarter were developed using city electronic databases. Data reflecting the average time required to complete an OMI investigation are reflected in Figure Five, below. The length of time for completing investigations for the fifteenth quarter dropped, from 500 days to 395 days.
Figure Five: Average Number of Days Required to Complete OMI Investigations
600
500
400
300
200
100
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15
-100

2.62 Compliance with Task 72: of Incomplete OMI Investigations

Auditor to Recommend Reopening

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed all 46 final reports of OMI investigations of citizens’ complaints completed between February 16, 2000 and May 15, 2001. In addition, the auditor conducted a comprehensive review of supporting documentation for 32 cases completed during this time frame. Of those 46 cases,

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two were remanded to the Office of Municipal Investigations for additional work. These cases are described in section 2.51, above.

2.63

Compliance with Task 73:

City to Prepare Progress Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter The first report was issued July 11, 1997; the second was issued January 16, 1998 The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The city remains in compliance with the requirements of task.

2.64 Compliance with Task 74: City to Maintain Records Necessary Methodology
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

All records requested by the auditor were provided in a timely fashion. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.65 Compliance with Task 75: Unrestricted Access for Auditor
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 75 requires the city to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

The auditor experienced unlimited access during audit processes for the fifteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76:

Unrestricted Access for Justice

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 76 requires the city to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree Further it requires access to staff and facilities upon appropriate notice.

Methodology

No changes in the access for Justice was noted this quarter. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance

2.67 Compliance with Task 77: Officers

Copies of Consent Decree to All

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 77 of the decree requires the city to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations All such individuals are further required to sign a statement indicating that they have received, read and understand the statement The city is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the city acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the city’s approach to compliance Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.68 Compliance with Task 78:

90 Day Timeline for Conformance

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15

Primary Secondary Operational

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Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree

Methodology

Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the PARS. The city is currently in primary compliance with 100 percent of the 74 provisions to which the city should have complied by now. The city is in secondary compliance with 74 of the 74 provisions due as of August 15, 1998. It is, however, in operational compliance with only 72 of the 74 tasks, due as of August 15, 1998. Issues with the quality of OMI investigations have caused the office to fall out of compliance with two tasks this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

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Public Management Resources San Antonio, Texas

Page -64 3.0 Summary The city, the bureau and the Office of Municipal Investigations have continued compliance with most elements of the consent decree during the last quarter. The city has maintained a primary compliance rate of 100 percent, a secondary compliance rate of 100 percent, and an operational compliance rate of 97 percent. Quality of OMI investigations has proven problematic for the third consecutive quarter. This may, in part, be attributable to the staffing of the office, which is actually staffed with fewer people during the fifteenth quarter than it was during the first quarter of this consent decree.
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 Page -1

1 Introduction

Auditor’s Sixteenth Draft Quarterly Report Quarter Ending August 16, 2001

This document represents the sixteenth of an anticipated 20 "Auditor’s Quarterly Reports" (AQR) assessing the levels of compliance of the City of Pittsburgh (city) with the requirements of the consent decree (decree) entered into between the city and the United States Department of Justice (justice) on April 16, 1997. The document consists of three sections, identified below:

!"Introduction; !"Compliance Assessment; and !"Summary.

The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of "compliance" are described in Section One, "Introduction." Section Two, "Compliance Assessment," includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, "Summary," provides an overall assessment of the city’s performance for this quarter.

1.1

Overall Status Assessment

1.1.2 Dates of Project Deliverables

Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the city; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.

1.2 Format for Compliance Assessment

The AQR is organized to be congruent with the structure of the consent decree. It reports on the city’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated "early warning system," now known to the Bureau of Police as the Performance Assessment and Review System (PARS). The following components of the decree are treated similarly. Compliance is classified as primary, secondary and "operational," with the definitions specified in Section 1.4, below.

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1.3 Compliance Assessment Processes

1.3.1 Structure of the Task Assessment Process

Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:

•

Selection of a random sample, or

•

Selecting all available records of that type.

Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.

The performance of the PBP and the City of Pittsburgh (city) on each task outlined in the consent decree was assessed by the auditor during the quarter ending August 16, 2001. The site visit for this quarterly report was conducted during the week of August 6, 2001.

All determinations of status for the city and the PBP are data-based, and were formed by review of the following types of documents:
!"Official PBP documents prepared in the normal course of business; !"Official Office of Municipal Investigations (OMI) documents prepared
during the normal course of business; and/or !"Electronic documents prepared by the city or components of city
government during the normal course of business.

Where practicable, documentation forming the database for this audit was selected by the auditor and the auditor’s staff directly from PBP, OMI or city files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints, were assessed by reviewing OMI files, OMI electronic files, and zone performance files.

1.4

Operational Definition of Compliance

For the purposes of this audit, "compliance" consists of three components: primary compliance, secondary compliance, and operational compliance.
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Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to "comply" as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the bureau.

During the sixteenth quarter of the decree, the city, the bureau and OMI have continued to implement the changes required by the decree, with specific exceptions noted in section 2.54, below. 1.5 Depicting Compliance Levels

This report uses both a narrative and graphic schema to depict compliance levels with the requirements of the consent decree. The narrative depiction labels compliance in the three categories as follows:

Status:

Primary: Compliance Level Secondary: Compliance Level Operational: Compliance Level

With appropriate compliance levels reported for each level of assessment.

The graphical depiction shows each level of compliance in relation to the time provided by the decree to reach compliance. The figure below depicts compliance levels on a hypothetical task.
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

The solid blue bar indicates

the time allowed by the decree to reach

compliance, in this case, one quarter. The “primary,” “secondary,” and

“operational” task bars indicate the time the agency took to achieve the various

levels of compliance. A vertically patterned light blue bar

indicates

compliance achieved within the time allowed. A checkered yellow-bar

depicts compliance which was achieved in a period of time that was

longer than that allowed by the decree, but which does not, in the opinion of the

auditor, seriously affect the city’s successful compliance with the decree. A

horizontally patterned orange bar

indicates that compliance was

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Page -4

achieved in a period of time that was longer than that allowed by the decree, and

which may affect eventual compliance. A solid red bar

depicts that

compliance was achieved in a period of time that was longer than that allowed by

the decree, and which, in the opinion of the auditor, does affect eventual

compliance.

2

Assessment of Compliance

2.1

Methodology

The auditor assessed the city’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and "operational" (see section 1.4, above).

The following sections of the sixteenth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the city has complied with the 74 tasks to which it agreed on April 16, 1997.

2.2

Assessing Compliance with Task 12: Automate the PBP Early

Warning System (PARS)

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-a of the decree requires the city and the PBP to automate the database tracking system currently in use to assess police officer performance, and to add functionality to the system, transitioning it to an "early warning system" which will assist the bureau in identifying and managing officer performance which may need improvement. The bureau has expanded the EWS concept into a Performance Assessment and Review System (PARS).
Methodology
During the site visit for the sixteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted by obtaining PARS-specific data for the first quarter of
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2001 and reviewing the performance factors for all PBP personnel. As part of this review, data were assessed for all active police officers, assessing particularly the officers whose activity levels were assessed to be one or more standard deviations above the mean for their workgroups in the areas of citizen complaints, search and seizure activity, use of force, discretionary arrests and traffic stop activity. Results of the auditor’s review are noted below.

A review of PARs data by command staff this quarter noted:
!"31 police officers who were continued on monitoring status based on previous indicators from earlier quarterly audits;
!"109 police officers whose performance in the area of warrantless search and seizure fell one or more standard deviations above their work group means;
!"124 officers whose performance in the area of the application of force fell one or more standard deviations above their work group means;
!"10 officers who were selected for review due to combined rankings for sick leave, citizens complaints, missed court, discretionary arrests and other indicators; and
!"Three officers who were the subject of gender or racial bias complaints.

In each of these cases, command staff review was appropriate, and related to the tenets of good supervision. A total of 58 supervisory actions (monitoring, discipline, counseling, etc) were taken by command staff based on this quarter’s COMPSTAR review and associated information. A continued supervisory presence was also noted this quarter compared to last, with clear evidence that supervisory personnel are using PARS, in conjunction with the performance evaluation process, to identify and respond to personnel not in compliance with departmental policies and to prevent possible infractions.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 12-a of the decree requires the city to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.

Methodology

During the site visit for the sixteenth quarterly audit, the auditor reviewed the city’s Performance Assessment and Review System (PARS). PARS is now completely operational, and was used by the PBP command staff to conduct its sixth quarterly analysis during the month of May, 2001. The auditor’s review for the sixteenth quarter was conducted by reviewing 100 percent of the related data included in the PARS. The bureau and the city continue to inspect and audit the records in the PARS, and quality control is an on-going process. During the week of the auditor’s site visit, the command staff conducted its quarterly analysis of PARS data. During that analysis, the command staff reviewed the performance parameters of 177 officers who, based on their performance records during the quarter, fell one or more standard deviations above the mean for their work groups on the various tasks assessed by PARS, or who had higher numbers of overall performance indicators than their peers. From those 177 officers, command staff selected 58 for some form of continued or increased scrutiny, based on their performance over the last quarter. The PARS reports accurately on each of the parameters required by the consent decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-b of the decree requires the city to build into the PARS the ability to retrieve information from the PARS by officer, squad, zone, unit, regarding the execution of "discretionary arrests," traffic stops, searches and seizures, and use of force.

Methodology

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During the site visit for the sixteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. A review of the capabilities of the PARS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. More than 300 separate tests were performed, using the PARS and its supporting OMS. The OMS reported accurately in each of the tests, and the PARS accurately reflected the data contained in the OMS.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-c of the decree requires the city to archive the records in the PARS for three years after the involved officers’ separation from service, and requires that all records be archived indefinitely. In addition, it requires the city to enter all relevant data for three years prior to April 16, 1997.

Methodology

During the site visit for the sixteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. Data continue to be entered as required by the decree. The auditor found no instances of data being purged from the PARS in conflict with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-d requires the city to develop a protocol for use of the PARS that would:
!"Establish trigger thresholds for review of officer records by senior supervisors;
!"Establish requirements for frequency of review of officer records by senior supervisors;
!"Establish the types of corrective actions to be taken by senior supervisors; !"Establish confidentiality and security provisions for the PARS; !"Establish requirements for quality assurance checks of data input; and !"Have the protocol submitted for review 30 days before implementation.

Methodology

During the site visit for the sixteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted using a live database from the operational PARS.

Now that the PARS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the PARS by the consent decree. The operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer performance, in compliance with the requirements of the decree. Command staff use PARS and supporting systems to conduct quarterly analysis of personnel performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
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Public Management Resources San Antonio, Texas

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2.3

Assessing Compliance with Task 13: Developing a Use of

Force Policy

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 13 requires the city to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the city to submit the policy to justice for approval prior to implementation.

Methodology

Further, the auditor conducted a thorough review of a random sample of 8.1 percent of 123 Subject Resistance Reports generated by PBP personnel during the quarter. The review conducted by the auditor indicates an acceptable level of command review. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 14 requires the city to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip

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searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.

Methodology

The auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and found three that reported a strip search. All of these searches were approved in advance by supervisory personnel, and were conducted in locations expressly approved for such procedures. All strip searches were conducted in accordance with policy.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.5

Assessing Compliance with Task 15: Written Reports of

Specific Police Actions

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 15 requires the city to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.

Methodology

The auditor reviewed a randomly selected sample of Subject Resistance Reports (SRRs) and Field Contact/Search/Seizure Reports (FCSSRs) to assess the level of accuracy of reporting and supervisory review for these reports. A 8.1 percent sample of 123 SRRs written during the sixteenth quarter was selected for review. In addition an nine percent sample of 383 completed search and seizure reports was selected for review. A 100 percent sample of three strip searches was selected for review. While these samples are lower than in past audit cycles, this reflects nine straight quarters of 100 percent compliance on these tasks. All of the reports reviewed this quarter were found to be in compliance with the requirements for search and seizure and use of force reporting. The error rate remains within the acceptable margin of error, at zero percent.

Status:

Primary: In Compliance
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Secondary: In Compliance Operational: In Compliance

2.6

Assessing Compliance with Task 16: Reporting Traffic Stops

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 16 requires the city to establish reporting requirements each time a police officer makes a traffic stop. The city has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The bureau has begun collecting traffic stop data, using the form designed by the city. These data are available at the Zones, and have been entered into the PARS. The eighth quarter was the first quarter in which detailed assessment of traffic stop information was possible, as the tabular data from the PARS regarding traffic stops was available through the PARS as of this audit cycle.

Methodology

Traffic stop data for 4,811 stops were assessed by the monitoring team during the sixteenth quarter. The auditor found the traffic stop data to accurately reflect information included in the COMPSTAR review conducted by command staff. In addition, the audit team noted that the bureau has initiated disciplinary proceedings against two officers in the last two quarters for failure to report traffic stops in accordance with bureau policy. Discipline assigned by the bureau for these infractions, in both cases, was a suspension of five days, pending termination. The bureau is judged to be in compliance with this task based on current and past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.7 Assessing Compliance with Task 17: Entry of Data into the PARS
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 17 requires the city to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The city has developed protocols requiring entry of data as required by the consent decree.

Methodology

The auditor has reviewed these protocols and found them to be acceptable. During his sixteenth quarterly site visit, the auditor tested data entry protocols by performing more than 100 individual tests of the system. The PARs and OMS reported accurately in each of these tests.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8

Assessing Compliance with Task 18: Audits of Use of Force

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 18 requires the city to cause supervisors and senior supervisors to conduct "regular audits" of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.
Methodology
The auditor reviewed an 8.1 percent sample of the 123 completed SRRs for the quarter. Each report was appropriately reviewed by command staff, and reports
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incorrectly completed were noted and re-routed for remediation. No errors were noted in the SRRs reviewed by the auditor.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. The bureau continues to complete quarterly analyses of use of force data, using the Officer Management System and PARS. The analysis identified use of force trends, as well as focusing on officers who recorded higher than average use-of-force rates. The command staff used the OMS and PARS to identify officers receiving complaints of excessive force, officers who had higherthan average levels of use-of-force rates in any one of the past four quarters, and to assess overall trends in use of force. These assessments became part of the quarterly "Computer Statistical Trend Analysis and Review" (COMPSTAR) meeting minutes, along with recommendations for counseling, retraining or other solutions to issues raised with specific officers’ use of force practices. Protocols require follow-up at the next quarterly PCS meeting to evaluate the effectiveness of these solutions.
Methodology
Using the PARS/OMS system, the auditor identified, during the sixteenth quarterly audit, 124 officers whose use of force statistics (or associated activity levels) were one or more standard deviations higher than their group norms, and who, in the auditor’s opinion, required further scrutiny. All zone commanders checked subject resistance report data as part of their routine quarterly analysis, and all 124 of the officers identified by the auditor were also noted by zone commanders. The increase in the rate of officers noted by the auditor this quarter, over previous quarters is due to the fact that, during the fifteenth and sixteenth quarter, the auditor reviewed a 100 percent sample of SRR reports (electronically, using PARS data), rather than selecting a sample for review. Command staff selected eight officers for increased scrutiny, based on their review of use-of-force performance factors this quarter.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9

Compliance with Task 19-a: Review Search and Seizure

Reports through Chain of Command

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-a requires the city to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.

Methodology

During the site visit for the sixteenth quarter, the auditor selected a random sample of 9.3 percent of 383 FCSSRs completed during the quarter. Each of these reports was analyzed to ensure the report met the requirements of task 19a. Further, each of the selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the reports was assessed, and supporting documentation, where available, was reviewed. The bureau continues to note incidents of poor reporting, when they occur, and continues to retrain officers who exhibit problematic reporting on search and seizure events.

Of the reports reviewed, none were judged to be problematic. The error rate for FCSSRs for the sixteenth quarter is zero. This is attributable, in part, to the internal review process established by the bureau, as well as increased scrutiny of FCSSRs by zone supervisors.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-b requires the city to analyze the search and seizure activity of its officers on a quarterly basis.

Methodology

Command staff used search and seizure data, generated by PARS, to assess officers’ performance, identifying officers who were above average in this category. These officers were noted to be of two types: those who were active in search and seizure processes, but whose reports indicated no problematic behavior, and those whose activities indicated additional training, counseling, or supervision. The command staff selected the first group of officers for potential commendation, and the second group for potential remediation.

Using the PARS/OMS, the auditor identified 109 officers whose FCSSR data fell one or more standard deviations above the mean for their work groups. All of the zone commanders reviewed each officer under their command whose FCSSR data exceeded work group norms by one or more standard deviation. This review included a thorough review of both electronic data, and a review of actual FCSSRs completed by these officers. The command staff review noted each of the 109 officers identified, independently, by the auditor as indicating a need for further scrutiny. The increase in numbers of officers identified by the auditor is due to the fact that, during the last three quarters, the auditor drew a 100 percent sample of PARS FCSSR data for analysis. Command staff selected eight officers for additional scrutiny, based on a review of their performance factors.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 20-a requires the city to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial or gender bias. During the sixteenth quarter, two allegations of racial or gender bias on the part of bureau officers were completed by OMI, and forwarded to the bureau for review. Racial bias complaints are monitored closely by command staff, and each quarterly COMPSTAR review includes a discussion of the status of these complaints, as well as the nature of the review conducted pursuant to the policy outlining PARS protocols for racial bias complaints. In addition, three complaints of racial bias were received, but investigations of the allegations were pending. Command staff implemented monitoring protocols as required by the decree in response to these three complaints.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-b requires supervisors to use the PARS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. The bureau, during
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the week of August 2, 1999, developed a specific protocol for quarterly analysis of potential indicators of racial bias. The protocol requires the command staff to review an officer’s complete PARS file if any of eight events involving the officer occur during any given quarter.

These events include:

•

Notation on the Supervisor’s Daily Activity Report (SDAR) of any

indication of racial or gender bias on the part of a given officer;

•

A complaint by a supervisor of racial or gender bias against an officer;

•

A peer compliant of racial or gender bias;

•

An OMI complaint of racial or gender bias;

•

Filing of a lawsuit, in which the officer is named, contending racial or

gender bias;

•

Any indication, during a normal review of routine police reports (offense

reports, arrest reports, search and seizure reports, subject resistance

reports, etc.) that an officer indicates potential racial or gender bias;

•

Comments made by an officer indicating racial or gender bias; or

•

A non-OMI complaint of gender or racial bias.

The quarterly analysis conducted by command staff during the week of August 6, 2001 identified three officers with at least one of these "trigger" events. Each of the three events was analyzed by command staff in accordance with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 21-a requires the city to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a two-year period, or five or more complaints in a two-year period.

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Methodology
The auditor reviewed all discipline imposed by the bureau for the sixteenth quarter. Based on records obtained from the office of the chief of police, seven individual disciplinary actions, involving citizens’ complaints, were taken by the bureau during the period of time covered by this report. The auditor reviewed all disciplinary actions reported for the sixteenth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline.
Based on the protocols of progressive discipline, the bureau is responding within its anticipated range of responses in delivering discipline. Offenses recorded for these seven disciplinary actions included:
!"Failure to complete required reports; !"Violation of the code of ethics; !"Conduct toward the puclic; and !"Conduct unbecoming a police officer.
Discipline for the seven incidents involving interactions with the public included:
!"Oral reprimands; !"Written reprimands; !"Conflict resolution retraining; and !"Five day suspension pending termination.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 21-b requires the city to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on review of officer behavior.

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Methodology

The auditor reviewed the bureau’s disciplinary processes for May 16, 2001 to August 15, 2001. The bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the bureau included retraining , counseling, and other appropriate forms of "retraining" and "counseling," including assignment to conflict resolution retraining.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.2

Compliance with Task 21-c: Consider Prior Record in

Determining Discipline

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 21-c requires the city to consider an officer’s prior record in determining discipline.

Methodology

According to records provided by the bureau and the Office of Municipal Investigations, seven individual disciplinary actions were taken by the bureau this quarter. Each of the seven disciplinary actions taken by the bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. Two of the disciplinary actions taken this quarter indicated a modification to discipline based on past record.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.12 Compliance with Task 22: Disciplinary Files at the Zone Level
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 22 requires the PBP to establish disciplinary action files, or "performance files" at the zone level.

Methodology

During the site visit for the fifteenth quarterly report, members of the monitoring team reviewed performance files and supervisory daily activity reporting at three zones (One, Five and SDD) Partial audits of both the supervisory daily activity reporting systems were conducted during the fifteenth site visit. Supervisory activity remains at acceptable levels, with officers (and some supervisory personnel) selected for “monitoring” showing an active supervisory review of their activities. Minor problems with “canned language” and insufficient detail in supervisory reports at SDD were noted. The seventeenth quarterly site visit will include a comprehensive review of the bureau’s response to issues noted with “canned language” in supervisory reports.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual Performance Evaluation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 23 requires the city to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.
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Methodology

During the site visit for the sixteenth quarterly report the audit staff reviewed nearly three dozen police performance evaluation files. Each of the personnel files reviewed this quarter contained performance evaluations completed in accordance with established policy. While a small number of files were missing at least one performance evaluation report, all of these were from the most recent evaluation period. Upon notice to the bureau by the auditor, all records were located and placed in the appropriate files.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 24 requires the city to use performance evaluations as a factor in promotional decisions.

Methodology
During the 16th quarter, members of the audit staff reviewed a 100 percent sample of the personnel files for all 18 police members promoted during the first two quarters of 2001. All of those promoted appeared to have been carefully evaluated, and promotions were, with three exceptions, made only of members who “met or exceeded” performance evaluation criteria. The exceptions were granted for two promoted individuals who had been marked “needs improvement” in punctuality and one marked similarly in police vehicle operations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.15 Compliance with Task 25: Provision of an Employee Assistance Program
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 25 requires the city to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.

Methodology

Evidence continues to exist to support the bureau’s operational compliance with paragraph 25. Reviews of zone "performance files" indicate that the EAP is being used by departmental personnel and departmental managers. Bureau discipline continues to use the EAP as part of its progressive discipline campaign. The city continues to sponsor EAP-related forums and to advertise the availability of EAP offerings. One employee was placed on extensive “Track III” employee assistance during the fifteenth quarter, in lieu of termination, and two employees were suspended for five days (pending termination) for violation of their Track III agreements. No new Track III activity was noted during the sixteenth quarter. The city remains in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.16 Compliance with Task 26: Notification of Adverse Involvement
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 26 requires the city to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the city to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

A review of Bureau records indicates that the bureau continues to monitor its officers’ activities for adverse involvement. The bureau’s records included notice regarding pending civil litigation (not related to duty incidents), and filed civil court orders. Discipline during the thirteenth quarter involved one incident of disciplinary action for failure to provide notice of adverse involvement. One finding of liability was noted this quarter. Seven incidents of adverse involvement, all appropriately reported, were noted this quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.
Methodology
The bureau has established an agreement with the district attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearings lost as a result of illegal activity. Further refinement of this process was
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achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum "detailing the results of the hearing."

PBP policy calls for these memoranda to be forwarded to OMI for their review. Based on concerns expressed by the auditor that the DA’s office has forwarded no notifications of lost suppression hearings, etc., the chief of police has modified the reporting practice between the district attorney and the bureau. Court liaison personnel have begun to specifically inquire monthly, about allegations of false arrest or improper searches on the part of PBP officers. During the sixteenth quarter, three such inquiries were made of the DA’s staff. The auditor reviewed reports of these inquiries, which noted no lost suppression hearings due to poor probable cause, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.18 Compliance with Task 28: Sanctions for Officers Involved in Settled Litigation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 28 requires the city to implement appropriate discipline "as the circumstances and OMI investigation warrant," in all instances in which PBP officers are the subject of civil litigation.
Methodology
Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation noted during the sixteenth quarter, and two were found. These cases settled late in the quarter, with notice to the police bureau only six days before the quarterly site visit. No action had been taken on these two cases, as both involved an officer who retired prior to the settlements. During the sixth quarterly audit, however, the department received notification of settled litigation involving two Bureau officers. During the seventh quarter, this case was reviewed by command staff, and disciplinary action was taken in April, 1999. It is clear from the review that the bureau continues to be in compliance with this task.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 29 requires the city to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

Methodology

The auditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the bureau, publishing legal bulletins, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.20 Compliance with Task 30: Develop a Rotation Schedule

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP continues to implement its rotation plan. The plan, supported by Chief’s Memo 97-550, requires routine consent-decree transfers in January of each year. Each January since implementation of this policy, the bureau has transferred sufficient numbers of personnel to remain in compliance with this task. In January, 2001, the bureau transferred a total of 77 officers and supervisors. In addition, during the thirteenth quarter, the bureau transferred all but two of its commanders, assigning each to new duties. No transfers related to this requirement were made this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 31 requires the PBP to "make every effort" to participate in community meetings, including those oriented toward minority groups.

Methodology

The auditor reviewed monthly attendance logs for police zones for the months of May 16, 2001 to August 15, 2001. The logs show multiple community meetings attended by PBP personnel. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
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2.22 Compliance with Task 32:

Televise OMI’s Function

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the city to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. The city continues to air television "spots" highlighting the function and process of the Office of Municipal Integrity. The city has also printed a brochure explaining the OMI function and has distributed the brochure to all of the city’s community organizations and placed these brochures in all city buildings. Television PSAs have been revised, although additional work is pending, and thus have not been reviewed by the auditor, as of this writing.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 33 requires the city to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.

Methodology

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The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted three site-visits of the training academy, and have interviewed many of the personnel assigned to the training academy. The bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 2001, the bureau has continued to train its officers in the topics of cultural diversity, "effective communication" and ethics. A total of 93.5 percent of all officers subject to this training had received it as of July 31, 2001. The remaining 6.5 percent are scheduled for training before the end of the year.

Status:

Primary: In Compliance
Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 34 requires the city to establish monitoring systems which will assess citizen’s complaints for indicators of needs in training or re-training. The bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.
Methodology
In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports. In addition, the auditor reviewed the academy’s quarterly training assessment report.
It continues to be clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the past nine quarters, training academy staff completed a review of citizen’s complaints and use of force reports with the aim of improving, where applicable, training
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curricula. Reports from the academy continue to be reviewed, assessed and critiqued by command staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 35 requires the city to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de escalation training "into all other training that implicates the use of force."

Methodology

To date, for the training year 2001, the bureau continues to train its eligible officers (excluding officers on extended medical or similar leave, and thus not performing police duties) in "verbal judo" and/or tactical communications. The bureau-wide process of reviewing all use-of-force curricula has been completed, and a new "use of force" training curriculum has been implemented by the bureau. A total of 91.2 percent of the officers subject to this training have received it. The remaining 8.8 percent are scheduled to receive the training before the end of the year.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 36 requires the city to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation "at the beginning of the training curriculum to serve as a foundation for all other classes. The recruit curriculum offered "ethics" training and "verbal judo" in week one, and cultural diversity in week two. Additional training in weeks 21 and 23 cover additional topics in cultural diversity and verbal judo. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 37 requires the city to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the bureau’s curriculum outlines for cultural diversity and ethics. According to academy records, all of the department’s sworn personnel have received training in ethics through the bureau’s new "career and personal survival" training component. The bureau has contracted with a nationally-recognized provider of training in police ethics, and has substantially revised the curriculum for the 2000 calendar year. The latest ethics training was conducted as part of the State of Pennsylvania’s mandatory training cycle. During the tenth quarter, the bureau received accreditation from the National Institute of Ethics. The agency’s eligible officers (excluding those officers on extended leave) continue to receive the state’s mandated “Leadership and Integrity” class during the 2001 training year.

Status:

Primary: In Compliance Secondary: In Compliance
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Operational: In Compliance
2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 38 requires the city to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

Based on a review of the training records, the department has trained all of its officers in the OMI process, with the exception of officers who are on extended leave. All new recruits receive the training regarding the OMI complaint process as part of the academy training program.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.29 Compliance with Task 39: Encourage Qualified FTO
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 39 requires the city to recruit "highly qualified" Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the city to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.
Methodology

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The bureau has added 13 new FTOs to its complement of training officers in order to provide field training for two sections of recruits currently working through the training process. Discussion at the fourteenth quarterly COMPSTAR meeting addressed methods for ensuring that quality FTOs are recruited, trained and deployed. The auditor conducted a complete assessment of the personnel files of these 13 officers during the sixteenth quarter, and found them to be “highly qualified;” however, the auditor also noted that four of the 13 selected as FTOs had unresolved (“open”) OMI complaints. Four officers were selected as FTOs who had open OMI complaints, including complaints of verbal abuse (open since 1997), theft (open since 1998), and four other allegations (open 1995, 1996, 1997 and 1998). The reader should note that these officers had strong performance evaluations, had no other indicators in their personnel files that they were problematic officers, and had, among them, officers who had received awards and commendations for exemplary service. It is patently unfair to hold back from advancement otherwise well-qualified officers because of unresolved OMI cases which may or may not be sustained. Similarly, advancing officers with these pending cases places the police bureau in a precarious position of possibly advancing police officers who may have (in some cases) serious allegations sustained against them. It appears that the backlog of OMI cases may be beginning to adversely affect the administration of the police bureau. The agency remains in compliance with this task, based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40: Train all FTOs and Instructors

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 40 requires the city to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the city require FTOs and instructors to "demonstrate on a regular basis, their proficiency in their areas of instruction."
Methodology

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Public Management Resources San Antonio, Texas

Page -33

The bureau has trained an additional 13 officers as instructors/FTOs, using its five-day “Instructor Development” training syllabus previously approved by the audit team. The academy has made no changes in its evaluation processes used to assess the effectiveness of the FTO program, which has been previously approved by the audit team.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 41 requires the city to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”

Methodology

A review of training records for the sixteenth quarter indicates the academy has continued its established processes for maintenance of training records. A full on-site review of training records was conducted by the audit team during the thirteenth quarter. No discrepancies were noted in training records. All instructors’ files reviewed contained certifications to teach the topics which they were teaching, and no missing data or other irregularities were noted.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42: Document Mandatory Counselings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 42 requires the city to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of data for the sixteenth quarterly report, the audit team reviewed the department’s centralized file that is used to document mandatory counseling sessions ordered this quarter for PBP personnel. The Bureau continues to use, and document, mandatory counseling as part of its disciplinary processes, and documents these counselings in files maintained in the office of the chief of police. A total of 15 mandatory counselings were issued by the bureau this quarter, the same number as in the last quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Annual Supervisory and Leadership Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 43 requires the city to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.
Methodology
The auditor assessed the training records for PBP senior supervisors (commanders and above). Command staff continue to receive training in integrity, command accountability, and cultural diversity through a series of courses offered by the training academy and the "POLEX" program. In addition, all command staff have received specialized training in managing organizational conflict. The mixture of training provided for command staff meets, in the opinion of the auditor, the requirements of this task.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.34 Compliance with Task 44: OMI Quality Assurance
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 44 requires the city to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

The current OMI database is an effective management tool. Upgrades are currently underway for the system, which should make it even more effective in managing OMI caseload. The reader should note, however, that the auditor’s current analysis of data from the database indicated inclusion of several closed cases in the “open cases” filtered file. This problem is not judged to be severe, but care should be taken to “clean” the OMI database management system to ensure that all closed cases are actually carried as closed, rather than open.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Public Management Resources San Antonio, Texas

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2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 45 requires the city to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

Members of the audit team reviewed disciplinary actions of the PBP command staff, and observed discussions among command personnel regarding disciplinary actions at the quarterly COMPSTAR personnel assessment. In addition, members of the audit team assessed DARs for evidence that past record and past performance is considered in assigning discipline. During the twelfth and thirteenth quarters, members of the command staff, using PARS and OMS, identified several members of the bureau for commendations based on their review, in part, of officers’ disciplinary records available in PARS. All records and actions observed by the members of the audit team indicate that the supervisory and command staff routinely access PARS in making disciplinary and performance decisions. PARS and OMS were consulted heavily as part of the promotional processes completed in the first two quarters of 2001. The bureau is judged to continue to be in compliance with this task. The PARS system was also used in assessing candidates for promotion during the first two quarters of 2001.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 46 requires the city maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the city to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be "identical" to that received by OMI police investigators. The paragraph further requires that the city make the OMI manual available for inspection at PBP facilities and at the OMI office.

Methodology

During the site visit for the sixteenth quarter, the auditor reviewed the training records for OMI personnel. All new civilian personnel who have not received training at the academy have been scheduled for, or are currently attending, the recruit training process currently underway at the police academy. Also during the twelfth quarter OMI published its updated investigative manual. This update was completed during the site visit for the twelfth quarter, and was reviewed by the audit team during the thirteenth quarter. All revisions to the manual conform to reasonably accepted practice in the conduct of internal investigations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47: Receipt of Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 47 requires the city to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.
Methodology
The auditor reviewed 18 of 32 final reports of completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were "required" to complete any OMI form prior to receipt of the
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Page -38

complaint and initiation of the investigation. None of the 32 files reviewed included any form completed by a complainant. Further, ample evidence exists to support the fact that complaints are received by telephone, letter and facsimile.

Status:

Primary: In Compliance

Secondary: In Compliance

Operational: In Compliance

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 48 requires that the city accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

Completed OMI complaints were assessed for the source of the complaint. No anonymous complaints were resolved this quarter. One anonymous complaint was resolved last quarter, however, and it was as completely investigated as possible. The city is judged to remain in operational compliance with task 48.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49: Closure of OMI Investigations

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. During the sixteenth quarterly review, the auditor found three complaints filed with the Office of Municipal Investigations which were either "officially" withdrawn by the complainant filing the complaint, or in which the complainant refused further cooperation with the Office. All of these complaints were investigated to completion by the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8

Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 50 requires the city to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the city publicize the new OMI location.

Methodology

No change in compliance status was noted for this task during the sixteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page -40

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 51 precludes the city from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the city to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The city is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings "in all city buildings."

Methodology

The auditor reviewed supporting documentation for 18 of the 32 citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a city facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes, over the telephone, and by meeting individuals at locations convenient to them. Of the 18 cases reviewed this quarter, evidence existed in five cases suggesting that the office routinely makes itself available to citizens "in the field," either at alternative sites, the complainant’s home, or over the telephone. The auditor reviewed attendance logs for OMI’s quarterly meetings (May 16, 2001 through August 15, 2001), and reviewed the OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings. Records maintained by OMI reflect that the office continues to attend public meetings.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Public Management Resources San Antonio, Texas

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2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 52 requires the city to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.

Methodology

Notification of supervisory personnel of citizens’ complaints for officers under their command is accomplished through the PARS/OMS systems, and supervisors are held accountable for appropriate action in the quarterly COMPSTAR meetings. The city continues in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation
Q1 Q2 Q3 Q4 Q5

Responsibility for Complaint
Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 53 requires the city to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to "settle" OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.
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Page -42

Methodology

A review of all 32 of the completed OMI investigations for this quarter reveals no evidence to indicate that the city does not remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Officers to Provide Name and Badge Number on Request
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, "Conduct Toward the Public" requires that "when requested by any person, a member shall give his name and badge number in a courteous manner."

Methodology

The auditor reviewed a sample of 18 completed OMI cases for the sixteenth quarter (May 16, 2001 through August 15, 2001) to determine if allegations of failure to provide name and badge number were made to OMI and sustained by investigation. One allegation was completed this quarter, the same number received during last quarter. The complaint was not sustained. The bureau sustained one allegation of failure to provide name and badge number during the fifteenth quarter, and another during the sixth quarter. The bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Public Management Resources San Antonio, Texas

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2.45 Compliance with Task 55: Interview of Complainants at Alternative Sites
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants "off-site," if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted "off site." Among the 18 completed investigations assessed during this quarter, evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: OMI to Tape and Transcribe Interviews
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept "special reports" in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

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Page -44

The OMI manual stipulates a "Tape Recorded Statement Form" and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed 18 of 32 cases completed this quarter by OMI, based on a selection by the auditor’s staff. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. With one exception, cases in which interviews were conducted after resolution of the Fraternal Order of Police’s "test case" on this issue included transcriptions of OMI interviews of officers, witnesses or complainants. This exception involved a complaint in which two officers were named by the complainant, but no officer interviews were present in the case file. Nor were the officers’ interviews noted in the case summary written by OMI. An omission in of one of 18 cases constitutes error rate of 5.5 percent, just outside the allowable margin of error for this task. The auditor views this lapse as serious, indicating a failure of management oversight of the investigative process. In keeping with the agreement of the parties, however, removing compliance from a task, once it has been reliably established, requires two consecutive quarters of non-compliance. Thus, the city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance (under warning)

2.47 Compliance with Task 57: OMI Staff Access to PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 57 stipulates that OMI staff should be provided access to the city’s PARS. The manager of OMI, the intake coordinator and one investigator have been trained in the use of the PARS. The office currently has virtually unlimited access to OMS/PARS to prepare complaint histories, assignment histories, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.48 Compliance with Task 58: OMI to Interview Supervisors at Scenes of Incidents Leading to Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

Two of the 32 OMI case reports which were completed this quarter included an apparent indication that a supervisor was on the scene of the event. OMI investigators interviewed both of these supervisors, and the interview was included in the case file.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59: OMI to Canvass for Witnesses
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 59 requires OMI to canvas the scene of an incident for witnesses "as soon as possible" after receiving a complaint where canvassing could "reasonably yield" additional information.
Methodology
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Public Management Resources San Antonio, Texas

Page -46

The auditor reviewed 18 of 32 completed OMI cases for the sixteenth quarter (May 16, 2000 through August 15, 2001) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Four of these cases appeared to involve fact situations or locations in which a canvass would potentially produce witnesses. Three of the cases resulted in witness canvasses. The fourth did not, even though the case investigation plan called for a canvass. This is the fourth consecutive quarter in which OMI has had difficulties with witness canvasses. The last two quarters’ problems involved “backlogged” cases, and were somewhat understandable. However, the office has been encouraged to pay special attention to this area of investigations for nearly a year. In the opinion of the auditor, it is absolutely critical to conduct canvasses when they appear to be potentially beneficial to an accurate outcome of an investigation. Continued problems in this area will result in withdrawal of operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance (under warning)

2.50 Compliance with Task 60: OMI to Review Police Shootings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the sixteenth quarter and found two, the same number as last quarter. Both of these cases were adequately reviewed by OMI investigators.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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Page -47

2.51 Compliance with Task 61: OMI to Aggressively Investigate Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16

Primary Secondary Operational

Paragraph 61 requires that OMI investigators "aggressively" investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed 18 of 32 OMI investigations completed from May 16, 2001 through August 15, 2001, to assess the level of completeness of the investigations. The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting. Of the 18 investigations reviewed, all but two were found to have been appropriately investigated. These twp cases are discussed in section 2.53, below.

An error rate of two of 18 cases constitutes an 88.9 percent compliance rate. OMI was declared out of compliance with Task 61 during the fifteenth quarter, and was warned concerning this task during the fourteenth quarter. The office was also warned concerning this task during the thirteenth quarter and again in the twelfth quarter. While some of these problems involved compliance rates near the required 95 percent level, in the opinion of the auditor, the office has demonstrated marginal performance over a broad enough period of time to warrant loss of its operational compliance status. Retraining in investigative standards, management practices, and in production of final investigative packets may also be warranted, given the fact that these errors have been appearing—sporadically—over a one-year period.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

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Page -48

2.52 Compliance with Task 62: OMI to Act on Behavior "Outside the Four Corners"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled "outside the four corners" of the original complaint.

Methodology

Of the 18 investigations assessed for the sixteenth quarter, two involved potential allegations of "collateral misconduct." Both of these were completely investigated..

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports
Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16

Primary Secondary Operational

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.
Methodology

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Public Management Resources San Antonio, Texas

Page -49

The auditor reviewed final reports of all 32 investigations completed by OMI between May 16, 2001 and August 15, 2001. In addition, the auditor reviewed supporting documentation for 18 of the 32 reports issued this quarter. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Of the 18 case reports reviewed this quarter, two were deemed to require additional investigative work.
!"AQR16-C, which involved an allegation of failure to provide a badge number. This case indicates that the OMI manager requested a witness canvass, but none was documented as being completed in the case file.

!"AQR16-D, which failed to document the police officers’ statements in the investigative file or mention their interviews in the case report.

This constitutes an error rate of 11.1 percent, which obviously falls outside the allowable five percent error rate for completed investigations.

In addition, the auditor noted that nine officers who were the subject of OMI investigations this quarter had outstanding (unresolved) OMI investigations, many pending from 1997 or earlier. Many of these unresolved OMI investigations were for allegations similar to the allegations resolved during the sixteenth quarter. OMI is required by paragraph 63 of the consent decree to document credibility assessments and to discuss “the accused officer’s complaint history.” Numerous unresolved complaints were part of the accused officers’ complaint history in cases completed by OMI during the sixteenth quarter. The office cannot readily evaluate that which has not been resolved, and thus compliance with Task 63 is affected by the backlog.

This is the fourth consecutive quarter in which the city has demonstrated problems in this task area. Accordingly, the City is judged not to be in compliance with the elements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

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Page -50
2.54 Compliance with Task 64: OMI to be Adequately Staffed
Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16
Primary Secondary
Operational
Paragraph 64 requires the city to provide OMI with "sufficient staff, funds and resources to perform the functions required" by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree, is relatively easy to define: the office is adequately staffed when the number of completed cases equals the number of cases received by the office, over a protracted period of time. During the sixteenth quarter, the office completed 32 complaint investigations, and received 34. Substantive problems were noted with three investigations completed this quarter, leaving a total of 29 cases cleared and 34 received.. The total number of cases pending was increased by three this quarter. Of 599 cases originally included in the “backlogged” case files, according to OMI data, 212 of those have been completed. More than 64 percent of the original backlog, identified by the city, remains, although many of these complaints are lodged against officers no longer with the department, and a large percentage involve minor complaints. Nonetheless, these cases remain to be resolved.
This is the second quarter in the last three in which OMI has cleared fewer cases than it received. This appears to be due to both an increase in the number of complaints received, and a possible diminution in the rate at which cases are cleared. Pursuant to an agreement between the parties, once compliance has been attained, failure to comply for two quarters in a row will result in loss of compliance status.
A more troubling development must be reported this quarter, however. Based on information received during the sixteenth quarterly site visit, the city has disbanded the “backlog” case squad, sending most police officers assigned to the squad back to the bureau of police, and reassigning the supervising sergeant to other investigative duties within OMI.
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The auditor views this as a most troubling development, directly threatening the city’s ability to attain and retain compliance with a wide variety of requirements of the consent decree. For example, paragraph 42 of the decree requires promotions to be made in consideration of the officer’s complaint history. It is virtually impossible to use “past complaint history” as an accurate element of promotional decisions unless the “history” is up-to-date. Thus the backlog affects more than OMI compliance. It also affects the ability of the police bureau to fully comply with the decree. See, for example, the discussion concerning past complaints in section 2.29.
OMI is required by paragraph 63 of the consent decree to document credibility assessments and to discuss “the accused officer’s complaint history.” Numerous complaints currently classified in the backlog cases were part of the accused officers’ complaint history in cases completed by OMI during the sixteenth quarter. The office cannot readily evaluate that which has not been resolved, and thus compliance with Task 63 is affected by the backlog.
Further, analysis of the existing backlog, based on records provided by the city, indicates a troubling potential for a second “backlog” problem, as well as the known, existing backlog. The auditor’s analysis of electronic data from the OMI database indicates a total of 253 investigations pending more than 180 days, but less than 360 days. These investigations are at risk of becoming seriously backlogged, making the possibility of locating witnesses, complainants and evidence much more difficult. Current workload indicators for OMI suggest that a case load of 10 investigations per investigator per quarter places the staff at the limit of its effective throughput. While overall quality of investigations is acceptable, the auditor is beginning to note some quality problems with more recent investigations (see sections 2.46, 2.49, 2.51 and 2.53, above). To investigate these pending 253 cases prior to their becoming seriously backlogged, i.e., more than two years old, would require substantial increases in the available number of OMI investigators. The office has an additional 165 cases which are currently more than two years old that could potentially be productively investigated if resources were available. The remaining 367 open cases range in age from 10 years to three years, with most (203) in the three to three and one-half year range. Figure One, below, depicts the number of outstanding (unresolved) OMI cases in 180 day increments of days pending, effective September, 2001. Cases between the blue and red vertical lines, in the opinion of the auditor, are cases in jeopardy of being lost to effective investigation techniques
While the City has committed itself to a plan of action that offers the potential to resolving the issue of the case backlog (transferring one full-time attorney to the OMI process, committing to hiring one additional full-time civilian, and transferring one full-time paralegal to “triage” backlogged cases, and requesting
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Page -52 funding for six additional investigative positions, and other revisions) the City cannot be audited on the basis of its plans. As of now, it is clear that OMI is understaffed, and the present backlog of cases has the potential to reduce hundreds of cases to cases which will soon not be amenable to complete investigations.
Figure One: Length of Pending OMI Investigations, In Days
250
200
150
100
50
0

Number of Cases

30-60 61-90 91-120 121-180 181-360 361-540 541-720 721-900 901-1080 1081-1260 1260-1440 1441-1620 1621-1800 1801-1980 1981-2160 2161-2340 2341-2520 2521-2700 2701-2880 2881-3060 3061-4140

Status:

Primary: Not in Compliance Secondary: Not In Compliance Operational: Not in Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.
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Methodology
The auditor reviewed 18 of 32 OMI investigations completed this quarter, and found all to conform to the preponderance of the evidence standard. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.56 Compliance with Task 66: No Preference for Officers’ Statements

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 66 stipulates that "there shall be no automatic preference of an officer’s statement over a complainant’s statement," and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed 18 of the 32 investigations of citizens’ complaints completed during the sixteenth quarter for conformance to this requirement. None of the completed investigations appeared to exhibit an automatic preference for police officers’ statements over those of witnesses. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.57

Compliance with Task 67: OMI Retains Final Investigative

Authority

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between May 16, 2001 and August 15, 2001, searching for a case that resulted in a finding which was "reversed" by a supervisor or senior supervisor. No such cases were found. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Change "Not Sustained" to "Not Resolved"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 68 requires the city to change the OMI disposition category of "Not Sustained"
Methodology
The auditor assessed all completed OMI investigations for the period of May 16, 2001 to August 15, 2001 to determine if the disposition of "Not Resolved" was
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appropriately used. None was found. The office is judged to remain in compliance with task 68.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69: OMI to Issue Quarterly Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

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Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit was issued, dated December, 4 1997, and has been updated annually. The city is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the city is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Auditor to Perform Quarterly Assurance Checks

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

•

OMI final reports;

•

Substance and timeliness of 50 percent of all OMI investigations

completed;

•

Statistical information on the number and types of complaints filed with

OMI;

•

Statistical information on discipline imposed on sustained complaints;

•

Assessments of officer use of force, searches and seizures, and traffic

stops.

Methodology

Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.

Number and Type of Complaints Filed

Complaints filed with OMI over the last 16 quarters fall into three categories:

•

Type 1 (allegations of rules violations);

•

Type 2 (allegations relating to attitude and conduct); and

•

Type 3 (allegations of abuse).

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Type 1 allegations include failure to perform, neglect of "ministerial" duties, inaccurate reporting, violation of departmental orders such as those regulating secondary employment, minor events of conduct unbecoming an officer, etc Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self assigned investigations, and failure to perform or neglect of duty "on scene." Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse. Table One, below, depicts the number and type of citizens’ complaints received by OMI during the fourteen quarters covered by the consent decree.

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 16th Quarters (1997-2001)

Quarter

Type 1

Type 2

Type 3

1

18

9

26

2

22

15

39

3

33

32

59

4

42

19

84

5

33

18

58

6

8

12

24

7

25

1

15

8

14

16

13

9

39

0

35

10

39

60

48

11

18

27

41

12

14

0

14

13

5

30

7

14

4

11

15

15

16

8

32

16

12

6

16

342

262

526

Source: Electronic database provided by City of Pittsburgh, CIS.

Total 53 76 124 145 109 44 41 43 74 147 86 28 42 30 56 34
1132

Average Complaint Severity
Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated for the sixteen quarters covered by this report. The average (mean) severity of complaints filed with the office are represented in Figure Two, below. As the figure indicates, the average severity of complaints has dropped since the
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beginning of the consent decree The orange line in Figure Two (and other figures depicted in this report) is a linear regression analysis, designed to allow the reader to determine the "trend line" for a given set of data. This trend line shows a steady decline in the severity of complaints filed with the city.
Figure Two: Average Severity Of Citizens’ Complaints, Quarters 1-16
2.5
2
1.5
1
0.5
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 q12 q13 Q14 Q15 Q16
Disposition of Citizens’ Complaints Complaints investigated by OMI are classified, upon completion, as one of four disposition categories:
!"Exonerated (evidence indicated that the event occurred, but that the officer was acting in conformance with the law or PBP policy);
!"Not Resolved (not enough information was available to prove or disprove the allegation);
!"Sustained (evidence indicated that the allegations were true); or !"Unfounded (evidence indicated that the allegations did not occur). Figure Three, below, depicts the rates at which OMI resolved the complaints received during the first sixteen quarters covered by this report The percentage
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of sustained complaints appears to have risen gradually over the sixteen quarters, as depicted by the orange “trend line” depicted in Figure Three.

Figure Three: Resolved Complaints by Disposition, by Quarter (1997-2001)
0.70

0.60

0.50 0.40 0.30 0.20

Sustained Exonerated Unfounded Not Resolved Linear (Sustaine

0.10

0.00 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rate of Sustained Complaints
The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Four, below The data depicted in Figure Four were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any finding other than “sustained.”
Figure Four reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation. As with other data reported in this section, Figure Four deals only with investigations of complaints filed by citizens. Complaints investigated by OMI as a result of an internal infraction referred to OMI by the Bureau of Police are not included in these analyses. The precipitous drop in the rate of sustained complaints, at times observable in these data, may
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be, in part, attributable to the inclusion of “backlog” cases in cleared cases each quarter. Some of these “backlog” cases were three years old. Obviously, it is difficult to locate witnesses and to clearly determine facts in older cases.
Figure Four: Rate of Sustained Citizens’ Complaints By Quarter (1997-2001)
0.3
0.25
0.2
0.15
0.1
0.05
0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16
Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Complaints Received and Complaints Cleared The number of citizens’ complaints received by OMI during the last sixteen quarters, compared to the number of complaints resolved by the office is reported in Figure Five, below. As with all other data reported in this section, these data are also calculated using data provided by the city and “cleaned” by the auditor’s staff. Figure Five reports two categories of data for the sixteen quarters covered by this report The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously) The second category reported identifies the number of complaints resolved by OMI investigation.
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Figure Five: Received v. Cleared Complaints By Quarter (1997-2001)
160
140
120
100 Cleared Received
80 Linear (Cleared Linear (Receive
60
40
20
0
Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of OMI Investigations Data necessary to calculate the length of OMI investigations for the sixteenth quarter were developed using city electronic databases. Data reflecting the average time required to complete an OMI investigation are reflected in Figure Six, below. Overall, the length of time for completing current investigations is increasing slightly, from just over 150 days in the ninth quarter (the quarter the backlog squad was initiated) to slightly less than two hundred days in the sixteenth quarter (as represented by the linear regression in Figure Six). The actual average number of days required to investigate current and backlogged cases is depicted in Table Two, below.
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Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16

Page -62

Table Two: Average Days to Complete OMI Investigations, Quarters Nine-Sixteen1

Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16

All

342 343 342 293 277 555 395

65

Backlogged 568 366

498 478 908 780

0

Current

182 64

141 165 326 170

65

Figure Six: Average Number of Days Required to Complete OMI Investigations1

1000 900 800 700 600 500 400 300 200 100 0 Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 q16 Quarter

All Backlog Current Linear (Curren

2.62 Compliance with Task 72: of Incomplete OMI Investigations

Auditor to Recommend Reopening

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

1 Data for the eleventh quarter were not available. Auditor’s Sixteenth Quarterly Report October, 2001 Public Management Resources San Antonio, Texas

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The auditor has reviewed all 32 final reports of OMI investigations of citizens’ complaints completed between May 16, 2000 and August 15, 2001. In addition, the auditor conducted a comprehensive review of supporting documentation for 18 cases completed during this time frame. Of those 18 cases, three were remanded to the Office of Municipal Investigations for additional work. These cases are described in section 2.51, above.

2.63

Compliance with Task 73:

City to Prepare Progress Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter The first report was issued July 11, 1997; the second was issued January 16, 1998 The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The city remains in compliance with the requirements of task.

2.64 Compliance with Task 74: City to Maintain Records Necessary Methodology
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

All records requested by the auditor were provided in a timely fashion. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.65 Compliance with Task 75: Unrestricted Access for Auditor
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 75 requires the city to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

The auditor experienced unlimited access during audit processes for the sixteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76:

Unrestricted Access for Justice

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 76 requires the city to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree Further it requires access to staff and facilities upon appropriate notice.

Methodology

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No changes in the access for Justice was noted this quarter. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.67 Compliance with Task 77: Officers

Copies of Consent Decree to All

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 77 of the decree requires the city to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations All such individuals are further required to sign a statement indicating that they have received, read and understand the statement The city is required to retain these statements

Methodology

The auditor has reviewed signature records retained by the city acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the city’s approach to compliance Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.68 Compliance with Task 78:

90 Day Timeline for Conformance

Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16

Primary Secondary Operational

Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree

Methodology

Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the PARS. The city is currently in primary compliance with 73 of the 74 provisions to which the city should have complied by now. The city is in secondary compliance with 73 of the 74 provisions due as of August 15, 1998. It is in operational compliance with only 70 of the 74 tasks, due as of August 15, 1998. Issues with the quality of OMI investigations have caused the office to fall out of compliance with four tasks this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

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3.0 Summary
The sixteenth quarter is a troubling quarter, serving as a potential precursor to serious difficulty in maintaining compliance with many aspects of the consent decree. The city is judged to be out of compliance with three tasks this quarter, including:
!"Task 61: OMI to aggressively investigate allegations of misconduct. Three of 18 cases reviewed by the auditor this quarter had investigative process problems. An error rate of two of 18 cases constitutes an 88.9 percent compliance rate. OMI was declared out of compliance with Task 61 during the fifteenth quarter, and was warned concerning this task during the fourteenth quarter. The office was also warned concerning this task during the thirteenth quarter and again in the twelfth quarter. While some of these problems involved compliance rates near the required 95 percent level, in the opinion of the auditor, the office has demonstrated marginal performance over a broad enough period of time to warrant loss of its operational compliance status. Retraining in investigative standards, management practices, and in production of final investigative packets may also be warranted, given the fact that these errors have been appearing—sporadically—over a one-year period.
!"Task 63: OMI to issue final reports. The office produced 32 final reports during the sixteenth quarter; the auditor reviewed 18 of those reports. A total of two of the reports had substantial problems, requiring the auditor to return the cases for additional work. The problems noted with investigations during the sixteenth quarter are similar to those noted in the previous four quarters for this task. Difficulty with this task appears to be a result of caseloads which are approaching or exceeding the maximum level of effectiveness.
!"Task 64: OMI to be adequately staffed. During the sixteenth quarter, the office completed 32 complaint investigations, and received 34. Substantive problems were noted with three investigations completed this quarter, leaving a total of 29 cases cleared and 34 received.. The total number of cases pending was increased by three this quarter. A more troubling development must be reported this quarter, however. Based on information received during the sixteenth quarterly site visit, the city has disbanded the “backlog” case squad, sending most police officers assigned to the squad back to the bureau of police, and reassigning the supervising sergeant to other investigative duties within OMI. The auditor views this as a most troubling development, directly threatening the city’s ability to attain and retain compliance with a wide variety of requirements of the consent decree.
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Further, analysis of the existing backlog, based on records provided by the city, indicates a troubling potential for a second “backlog” problem, as well as the known, existing backlog. The auditor’s analysis of electronic data from the OMI database indicates a total of 253 investigations pending more than 180 days, but less than 360 days. These investigations are at risk of becoming seriously backlogged, making the possibility of locating witnesses, complainants and evidence much more difficult. The office has an additional 165 cases which are currently more than two years old that could potentially be productively investigated if resources were available. The remaining 367 open cases range in age from 10 years to three years, with most (203) in the three to three and one-half year range.
!"Task 78: 90 day timeline for conformance. The decree envisioned complete compliance by the city within 90 days of its implementation, or by July 16, 1997. More than four years later, the city remains out of compliance with four of the 74 tasks to which it committed in April, 1997. In addition, the city is “under warning” on three additional tasks: Task 56, “OMI to Tape and Transcribe Interviews;” Task 58, “: OMI to Interview Supervisors at Scenes of Incidents Leading to Allegations of Misconduct;” and Task 59, “OMI to Canvass for Witnesses.”
Two serious problems appear to be crystallizing.
!"First, the already troubling issue of backlogged cases has been exacerbated by reassignment of personnel committed to clearing the backlog. A second pending backlog is looming. Resolution of the backlog issue (and avoidance of the second wave of backlogged cases) is, in the opinion of the auditor, simply not possible with the number of staff currently assigned to OMI.
!"Second, it appears that the staff assigned to investigation of current cases appears to be suffering under a workload that is at the very upper levels of effectiveness.
The issues in OMI are not simply contained within that unit. The requirements stipulated in these six tasks are intended to serve as tools for effective management of the police bureau. To the extent that they are not met, the result is potentially reduced effectiveness of the police bureau.
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 Page -1

1 Introduction

Auditor’s Seventeenth Quarterly Report Quarter Ending November 16, 2001

This document represents the seventeenth of an anticipated 20 "Auditor’s Quarterly Reports" (AQR) assessing the levels of compliance of the City of Pittsburgh (city) with the requirements of the consent decree (decree) entered into between the city and the United States Department of Justice (justice) on April 16, 1997. The seventeenth quarterly report was substantially delayed by technical difficulties in the monitor’s office that resulted in the need to re-write and re-process the entire report. As a result, the report, which was due to be submitted to the court in December 2001, was not submitted until March 2002. This document consists of three sections, identified below:
§ Introduction; § Compliance Assessment; and § Summary.

The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of "compliance" are described in Section One, "Introduction." Section Two, "Compliance Assessment," includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, "Summary," provides an overall assessment of the city’s performance for this quarter.

1.1

Overall Status Assessment

1.1.2 Dates of Project Deliverables

Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deli verables of the city; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.

1.2 Format for Compliance Assessment

The AQR is organized to be congruent with the structure of the consent decree. It reports on the city’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated "early warning system," now known to the Bureau of Police as the Performance Assessment and Review System (PARS). The following
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components of the decree are treated similarly. Compliance is classified as primary, secondary and "operational," with the definitions specified in Section 1.4, below.

1.3 Compliance Assessment Processes

1.3.1 Structure of the Task Assessment Process

Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh B ureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:

•

Selection of a random sample, or

•

Selecting all available records of that type.

Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.

The performance of the PBP and the City of Pittsburgh (city) on each task outlined in the consent decree was assessed by the auditor during the quarter ending November 15, 2001. The site visit for this quarterly report was conducted during the week of November 5, 2001.

All determinations of status for the city and the PBP are data-based, and were formed by review of the following types of documents:

§ Official PBP documents prepared in the normal course of business; § Official Office of Municipal Investigations (OMI) documents prepared
during the normal course of business; and/or § Electronic documents prepared by the city or components of city
government during the normal course of business.

Where practicable, documentation forming the database for this audit was selected by the auditor and the auditor’s staff directly from PBP, OMI or city files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints, were assessed by reviewing OMI files, OMI electronic files, and zone performance files.

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1.4

Operational Definition of Compliance

For the purposes of this audit, "compliance" consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to "comply" as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the bureau.

During the seventeenth quarter of the decree, the city, the bureau and OMI have continued to implement the changes required by the decree, with specific exceptions noted in section 2.54, below. 1.5 Depicting Compliance Levels

This report uses both a narrative and graphic schema to depict compliance levels with the requirements of the consent decree. The narrative depiction labels compliance in the three categories as follows:

Status:

Primary: Compliance Level Secondary: Compliance Level Operational: Compliance Level

With appropriate compliance levels reported for each level of assessment.

The graphical depiction shows each level of compliance in relation to the time provided by the decree to reach compliance. The figure below depicts compliance levels on a hypothetical task.
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

The solid blue bar

indicates the time allowed by the decree to reach

compliance, in this case, one quarter. The “primary,” “secondary,” and

“operational” task bars indicate the time the agency took to achieve the various

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Page -4

levels of compliance. A vertically patterned light blue bar

indicates

compliance achieved within the time allowed. A checkered yellow-bar

depicts compliance which was achieved in a period of time that was longer than

that allowed by the decree, but which does not, in the opinion of the auditor,

seriously affect the city’s successful compliance with the decree. A horizontally

patterned orange bar

indicates that compliance was achieved in a period of

time that was longer than that allowed by the decree, and which may affect

eventual compliance. A solid red bar

depicts that compliance was achieved

in a period of time that was longer than that allowed by the decree, and which, in

the opinion of the auditor, does affect eventual compliance.

2

Assessment of Compliance

2.1

Methodology

The auditor assessed the city’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and "operational" (see section 1.4, above).

The following sections of the seventeenth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the city has complied with the 74 tasks to which it agreed on April 16, 1997.

2.2

Assessing Compliance with Task 12: Automate the PBP Early

Warning System (PARS)

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-a of the decree requires the city and the PBP to automate the database tracking system currently in use to assess police officer performance, and to add functionality to the system, transitioning it to an "early warning system" which will assist the bureau in identifying and managing officer performance which may need improvement. The bureau has expanded the EWS concept into a Performance Assessment and Review System (PARS).
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Methodology

During the site visit for the seventeenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted by obtaining PARS-specific data for the first quarter of 2001 and reviewing the performance factors for all PBP personnel. As part of this review, data were assessed for all active police officers, assessing particularly the officers whose activity levels were assessed to be one or more standard deviations above the mean for their workgroups in the areas of citizen complaints, search and seizure activity, use of force, discretionary arrests and traffic stop activity. Results of the auditor’s review are noted below.

A review of PARs data by command staff this quarter noted:

§ 35 police officers who were continued on monitoring status based on previous indicators from earlier quarterly audits;
§ 89 police officers whose performance in the area of warrantless search
and seizure fell one or more standard deviations above their work group means; § 256 officers whose performance in the area of the application of force fell one or more standard deviations above their work group means; § 19 officers who were selected for review due to combined rankings for sick
leave, citizens complaints, missed court, discretionary arrests and other indicators; and § Two officers who were the subject of gender or racial bias complaints.

In each of these cases, command staff review was appropriate, and related to the tenets of good supervision. A total of 39 supervisory actions (monitoring, discipline, counseling, etc) were taken by command staff based on this quarter’s COMPSTAR review and associated information. A continued supervisory presence was also noted this quarter compared to last, with clear evidence that supervisory personnel are using PARS, in conjunction with the performance evaluation process, to identify and respond to personnel not in compliance with departmental policies and to prevent possible infractions.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-a of the decree requires the city to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.

Methodology

During the site visit for the seventeenth quarterly audit, the auditor reviewed the city’s Performance Assessment and Review System (PARS). PARS is now complete ly operational, and was used by the PBP command staff to conduct its last quarterly analysis during the month of November 2001. The auditor’s review for the seventeenth quarter was conducted by reviewing 100 percent of the related data included in the PARS. The bureau and the city continue to inspect and audit the records in the PARS, and quality control is an on-going process. During the week of the auditor’s site visit, the command staff conducted its quarterly analysis of PARS data. During that analysis, the command staff reviewed the performance parameters of 401 officers who, based on their performance records during the quarter, fell one or more standard deviations above the mean for their work groups on the various tasks assessed by PARS, or who had higher numbers of overall performance indicators than their peers. From those 401 officers, command staff selected 39 for some form of continued or increased scrutiny, based on their performance over the last quarter. The PARS reports accurately on each of the parameters required by the consent decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-b of the decree requires the city to build into the PARS the ability to retrieve information from the PARS by officer, squad, zone, unit, regarding the execution of "discretionary arrests," traffic stops, searches and seizures, and use of force.

Methodology

During the site visit for the seventeenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. A review of the capabilities of the PARS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. More than 100 separate tests were performed, using the PARS and its supporting OMS. The OMS reported accurately in each of the tests, and the PARS accurately reflected the data contained in the OMS.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 12-c of the decree requires the city to archive the records in the PARS for three years after the involved officers’ separation from service, and requires that all records be archived indefinitely. In addition, it requires the city to enter all relevant data for three years prior to April 16, 1997.
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Methodology

During the site visit for the seventeenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. Data continue to be entered as required by the decree. The auditor found no instances of data being purged from the PARS in conflict with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-d requires the city to develop a protocol for use of the PARS that would:
§ Establish trigger thresholds for review of officer records by senior supervisors;
§ Establish requirements for frequency of review of officer records by senior supervisors;
§ Establish the types of corrective actions to be taken by senior supervisors; § Establish confidentiality and security provisions for the PARS; § Establish requirements for quality assurance checks of data input; and § Have the protocol submitted for review 30 days before implementation.
Methodology
During the site visit for the seventeenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted using a live database from the operational PARS.
Now that the PARS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the PARS by the consent decree. The
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operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer performance, in compliance with the requirements of the decree. Command staff use PARS and supporting systems to conduct quarterly analysis of personnel performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.3

Assessing Compliance with Task 13: Developing a Use of

Force Policy

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 13 requires the city to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the city to submit the policy to justice for approval prior to implementation.

Methodology

Further, the auditor conducted a thorough review of a random sample of 9.0 percent of 131 Subject Resistance Reports generated by PBP personnel during the quarter. The review conducted by the auditor indicates an acceptable level of command review. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 14 requires the city to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.

Methodology

The auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and identified all such records that reported a strip search. All of the records of these searches were reviewed by the auditor. All strip searches were approved i n advance by supervisory personnel, and were conducted in locations expressly approved for such procedures. All strip searches were conducted in accordance with policy.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.5

Assessing Compliance with Task 15: Written Reports of

Specific Police Actions

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 15 requires the city to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.

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Methodology

The auditor reviewed a randomly selected sample of Subject Resistance Reports (SRRs) and Field Contact/Search/Seizure Reports (FCSSRs) to assess the level of accuracy of reporting and supervisory review for these reports. A 9.0 percent sample of 131 SRRs written during the seventeenth quarter was selected for review. In addition an 8.6 percent sample of 392 completed search and seizure reports was selected for review. A 100 percent sample of three strip searches was selected for review. While these samples are lower than in past audit cycles, this reflects nine straight quarters of 100 percent compliance on these tasks. All of the reports reviewed this quarter were found to be in compliance with the requirements for search and seizure and use of force reporting. The error rate remains within the acceptable margin of error, at zero percent.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.6

Assessing Compliance with Task 16: Reporting Traffic Stops

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 16 requires the city to establish reporting requirements each time a police officer makes a traffic stop. The city has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The bureau has begun collecting traffic stop data, using the form designed by the city. These data are available at the Zones, and have been entered into the PARS. The eighth quarter was the first quarter in which detailed assessment of traffic stop information was possible, as the tabular data from the PARS regarding traffic stops was available through the PARS as of this audit cycle.
Methodology
Traffic stop data for all stops completed by the Bureau were assessed by the monitoring team during the seventeenth quarter. The auditor found the traffic stop data to accurately reflect information included in the COMPSTAR review conducted by command staff. In addition, the audit team noted that the bureau
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has initiated disciplinary proceedings against two officers in the fourteenth and fifteenth quarters for failure to report traffic stops in accordance with bureau policy. Discipline assigned by the bureau for these infractions, in both cases, was a suspension of five days, pending termination. The bureau is judged to be in compliance with this task based on current and past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 17 requires the city to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The city has developed protocols requiring entry of data as required by the consent decree.

Methodology

The auditor has reviewed these protocols and found them to be acceptable. During his seventeenth quarterly site visit, the auditor tested data entry protocols by performing more than 100 individual tests of the system. The PARs and OMS reported accurately in each of these tests.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8

Assessing Compliance with Task 18: Audits of Use of Force

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 18 requires the city to cause supervisors and senior supervisors to conduct "regular audits" of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preve nting use of excessive force.

Methodology

The auditor reviewed a 9.0 percent sample of the 131 completed SRRs for the quarter. Each report was appropriately reviewed by command staff, and reports incorrectly completed were noted and re-routed for remediation. No errors were noted in the SRRs reviewed by the auditor.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. The bureau continues to complete quarterly analyses of use of force data, using the Officer Management System and PARS. The analysis identified use of force trends, as well as focusing on officers who recorded higher than average use-of-force rates. The command staff used the OMS and PARS to identify officers receiving complaints of excessive force, officers who had higherthan average levels of use-of-force rates in any one of the past four quarters, and to assess overall trends in use of force. These assessments became part of the quarterly "Computer Statistical Trend Analysis and Review" (COMPSTAR) meeting minutes, along with recommendations for counseling, retraining or other solutions to issues raised with specific officers’ use of force practices. Protocols require follow-up at the next quarterly PCS meeting to evaluate the effectiveness of these solutions.
Methodology
Using the PARS/OMS system, the auditor identified, during the seventeenth quarterly audit, 256 officers whose use of force statistics (or associated activity
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levels) were one or more standard deviations higher than their group norms, and who, in the auditor’s opinion, required further scrutiny. All zone commanders checked subject resistance report data as part of their routine quarterly analysis, and all 256 of the officers identified by the auditor were also noted by zone commanders. The increase in the rate of officers noted by the auditor this quarter, over previous quarters is due to the fact that, during the last three quarters, the auditor reviewed a 100 percent sample of SRR reports (electronically, using PARS data), rather than selecting a sample for review. Command staff selected eight officers for increased scrutiny, based on their review of use-of-force performance factors this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9

Compliance with Task 19-a: Review Search and Seizure

Reports through Chain of Command

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-a requires the city to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.
Methodology
During the site visit for the seventeenth quarter, the auditor selected a random sample of 8.6 percent of 392 FCSSRs completed during the quarter. Each of these reports was analyzed to ensure the report met the requirements of task 19a. Further, each of the selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the reports was assessed, and supporting documentation, where available, was reviewed. The bureau continues to note incidents of poor reporting, when they occur, and continues to retrain officers who exhibit problematic reporting on search and seizure events.

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Of the reports reviewed, none were judged to be problematic. The error rate for FCSSRs for the seventeenth quarter is zero. This is attributable, in part, to the internal review process established by the bureau, as well as increased scrutiny of FCSSRs by zone supervisors.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-b requires the city to analyze the search and seizure activity of its officers on a quarterly basis.
Methodology
Command staff used search and seizure data, generated by PARS, to assess officers’ performance, identifying officers who were above average in this category. These officers were noted to be of two types: those who were active in search and seizure processes, but whose reports indicated no problematic behavior, and those whose activities indicated additional training, counseling, or supervision. The command staff selected the first group of officers for potential commendation, and the second group for potential remediation.
Using the PARS/OMS, the auditor identified 89 officers whose FCSSR data fell one or more standard deviations above the mean for their work groups. All of the zone commanders reviewed each officer under their command whose FCSSR data exceeded work group norms by one or more standard deviation. This review included a thorough review of both electronic data, and a review of actual FCSSRs completed by these officers. The command staff review noted each of the 89 officers identified, independently, by the auditor as indicating a need for further scrutiny. The increase in numbers of officers identified by the auditor is due to the fact that, during the last three quarters, the auditor drew a 100 percent sample of PARS FCSSR data for analysis. Command staff selected no officers for additional scrutiny, based on a review of their performance factors in search and seizure activities.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-a requires the city to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The bureau currently relies on OMI for notice of allegations of racial bias and requires review afte r notification.

Methodology

During the course of reviewing OMI completed investigations, the auditor screened these complaints for allegations of racial or gender bias. During the seventeenth quarter, two allegations of racial or gender bias (the same numbers as the sixteenth quarter) on the part of bureau officers were completed by OMI, and forwarded to the bureau for review. Racial bias complaints are monitored closely by command staff, and each quarterly COMPSTAR review includes a discussion of the status of these complaints, as well as the nature of the review conducted pursuant to the policy outlining PARS protocols for racial bias complaints. In addition, three complaints of racial bias were received, but investigations of the allegations were pending. Command staff implemented monitoring protocols as required by the decree in response to these three complaints.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-b requires supervisors to use the PARS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. The bureau, during the week of August 2, 1999, developed a specific protocol for quarterly analysis of potential indicators of racial bias. The protocol requires the command staff to review an officer’s complete PARS file if any of eight events involving the officer occur during any given qua rter.

These events include:

•

Notation on the Supervisor’s Daily Activity Report (SDAR) of any

indication of racial or gender bias on the part of a given officer;

•

A complaint by a supervisor of racial or gender bias against an officer;

•

A peer compliant of racial or gender bias;

•

An OMI complaint of racial or gender bias;

•

Filing of a lawsuit, in which the officer is named, contending racial or

gender bias;

•

Any indication, during a normal review of routine police reports (offense

reports, arrest reports, search and seizure reports, subject resistance

reports, etc.) that an officer indicates potential racial or gender bias;

•

Comments made by an officer indicating racial or gender bias; or

•

A non-OMI complaint of gender or racial bias.

The quarterly analysis conducted by command staff during the week of November 5, 2001 identified two officers with at least one of these "trigger" events. Each of the three events was analyzed by command staff in accordance with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary
Operational
Paragraph 21-a requires the city to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a two-year period, or five or more complaints in a two-year period.
Methodology
The auditor reviewed all discipline imposed by the bureau for the seventeenth quarter. Based on records obtained from the office of the chief of police, eleven individual disciplinary actions, involving citizens’ complaints, were taken by the bureau during the period of time covered by this report. The auditor reviewed all disciplinary actions reported for the seventeenth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline.
Based on the protocols of progressive discipline, the bureau is responding within its anticipated range of responses in delivering discipline. Offenses recorded for these seven disciplinary actions included:
§ Failure to complete required reports; § Violation of the code of ethics; § Conduct toward the puclic; and § Conduct unbecoming a police officer.
Discipline for the seven incidents involving interactions with the public included:
§ Oral reprimands; § Written reprimands; § Conflict resolution retraining; and § Three-day suspension.

Status:

Primary: In Compliance
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Secondary: In Compliance Operational: In Compliance
2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 21-b requires the city to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on review of officer behavior.

Methodology

The auditor reviewed the bureau’s disciplinary processes for August 16, 2001 to November 15, 2001. The bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the bureau included retraining , counseling, and other appropriate forms of "retraining" and "counseling," including assignment to conflict resolution retraining.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.2

Compliance with Task 21-c: Consider Prior Record in

Determining Discipline

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 21-c requires the city to consider an officer’s prior record in determining discipline.

Methodology

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According to records provided by the bureau and the Office of Municipal Investigations, seven individual disciplinary actions were taken by the bureau this quarter. Each of the eleven disciplinary actions taken by the bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. Two of the disciplinary actions taken this quarter indicated a modification to discipline based on past record.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 22 requires the PBP to establish disciplinary action files, or "performance files" at the zone level.

Methodology

During the site visit for the fifteenth quarterly report, members of the monitoring team reviewed performance files and supervisory daily activity reporting at all zones (One through Six and SDD). Supervisory activity remains at acceptable levels, with officers (and some supervisory personnel) selected for “monitoring” showing an active supervisory review of their activities. Based on some minor problems noted during the seventeenth quarterly site visit, the monitor conducted a thorough review of supervisor activity reports for “canned language.” No problems of this nature were noted in supervisory reports this quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

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2.13 Compliance with Task 23: Annual Performance Evaluation
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 23 requires the city to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

During the site visit for the sixteenth quarterly report the audit staff reviewed nearly three dozen police performance evaluation files. Each of the personnel files reviewed this quarter contained performance evaluations completed in accordance with established policy. While a small number of files were missing at least one performance evaluation report, all of these were from the most recent evaluation period. Upon notice to the bureau by the auditor, all records were located and placed in the appropriate files. No assessment of this task was conducted for the seventeenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 24 requires the city to use performance evaluations as a factor in promotional decisions.
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Methodology
During the 16th quarter, members of the audit staff reviewed a 100 percent sample of the personnel files for two police members promoted d uring the third quarter of 2001. All of those promoted appeared to have been carefully evaluated, and promotions were made only of members who “met or exceeded” performance evaluation criteria.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.15 Compliance with Task 25: Provision of an Employee Assistance Program
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 25 requires the city to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.

Methodology

Evidence continues to exist to support the bureau’s operational compliance with paragraph 25. Reviews of zone "performance files" indicate that the EAP is being used by departmental personnel and departmental managers. Bureau discipline continues to use the EAP as part of its progressive discipline campaign. The city continues to sponsor EAP-related forums and to advertise the availability of EAP offerings. One employee was placed on extensive “Track III” employee assistance duri ng the fifteenth quarter, in lieu of termination, and two employees were suspended for five days (pending termination) for violation of their Track III agreements. No new Track III activity was noted during the seventeenth quarter. The city remains in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance
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Page -23

2.16 Compliance with Task 26: Notification of Adverse Involvement
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 26 requires the city to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the city to discipline or retrain officers fo und guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

A review of Bureau records indicates that the bureau continues to monitor its officers’ activities for adverse involvement. The bureau’s records included notice regarding pending civil litigation (not related to duty incidents), and filed civil court orders. Discipline during the thirteenth quarter involved one incident of disciplinary action for failure to provide notice of adverse involvement. No finding of liability was noted this quarter. Five incidents of adverse involvement, all appropriately reported, were noted this quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search
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and seizure by PBP officers. This paragraph also requires the bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.

Methodology

The bureau has established an agreement with the district attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearings lost as a result of illegal activity. Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum "detailing the results of the hearing."

PBP policy calls for these memoranda to be forwarded to OMI for their review. Based on concerns expressed by the auditor that the DA’s office has forwarded no notifications of lost suppression hearings, etc., the chief of police has modified the reporting practice between the district attorney and the bureau. Court liaison personnel have begun to specifically inquire monthly, about allegations of false arrest or improper searches on the part of PBP officers. During the seventeenth quarter, three such inq uiries were made of the DA’s staff. The auditor reviewed reports of these inquiries, which noted no lost suppression hearings due to poor probable cause, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.18 Compliance with Task 28: Sanctions for Officers Involved in Settled Litigation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational
Paragraph 28 requires the city to implement appropriate discipline "as the circumstances and OMI investigation warrant," in all instances in which PBP officers are the subject of civil litigation.
Methodology

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Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation noted during the seventeenth quarter, and two were found. These cases settled late in the quarter, with notice to the police bureau only six days before the quarterly site visit. No action had been taken on these two cases, as both involved an officer who retired prior to the settlements. During the sixth quarterly audit, however, the department received notification of settled litigation involving two Bureau officers. During the seventh quarter, this case was reviewed by command staff, and disciplinary action was taken in April, 1999. It is clear from the review that the bureau continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 29 requires the city to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

Methodology

The a uditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the bureau, publishing legal bulletins, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The bureau continues its compliance with this task.

Status:

Primary: In compliance
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Secondary: In Compliance Operational: In Compliance
2.20 Compliance with Task 30: Develop a Rotation Schedule
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP continues to implement its rotation plan. The plan, supported by Chief’s Memo 97-550, requires routine consent-decree transfers in January of each year. Each January since implementation of this policy, the bureau has transferred sufficient numbers of personnel to remain in compliance with this task. In January, 2001, the bureau transferred a total of 77 officers and supervisors. In addition, during the thirteenth quarter, the bureau transferred all but two of its commanders, assigning each to new duties. No transfers related to this requirement were made during the seventeenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 31 requires the PBP to "make every effort" to participate in community meetings, including those oriented toward minority groups.

Methodology

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The auditor reviewed monthly attendance logs for police zones for the months of August 16, 2001 to November 15, 2001. The logs show multiple community meetings attended by PBP personnel. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are a vailable.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the city to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. The city continues to air television "spots" highlighting the function and process of the Office of Municipal Integrity. The city has also printed a brochure explaining the OMI function and has distributed the brochure to all of the city’s community organizations and placed these brochures in all city buildings. Television PSAs have been revised, although additional work is pending, and thus have not been reviewed by the auditor, as of this writing.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.23 Compliance with Task 33: Provision of Training in Cultural Diversity
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 33 requires the city to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.

Methodology

The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted three site-visits of the training academy, and have interviewed many of the personnel assigned to the training academy. The bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 2001, the bureau has continued to train its officers in the topics of cultural diversity, "effective communication" and ethics. A total of 100 percent of all officers subject to this training had received it as of November 30, 2001.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 34 requires the city to establish monitoring systems which will assess citizen’s complaints for indicators of needs in training or re-training. The bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.
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Methodology

In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports. In addition, the auditor reviewed the academy’s quarterly training assessment report.

It continues to be clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the past nine quarters, training academy staff completed a review of citizen’s complaints and use of force reports with the aim of improving, where applicable, training curricula. Reports from the academy continue to be reviewed, assessed and critiqued by command staff.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 35 requires the city to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de escalation training "into all other training that implicates the use of force."
Methodology
To date, for the training year 2001, the bureau continues to train its eligible officers (excluding officers on extended medical or similar leave, and thus not performing police d uties) in "verbal judo" and/or tactical communications. The bureau-wide process of reviewing all use-of-force curricula has been completed, and a new "use of force" training curriculum has been implemented by the bureau. A total of 98 percent of the officers subject to this training have received it.

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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 36 requires the city to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation "at the beginning of the training curriculum to serve as a foundation for all other classes. The recruit curriculum offered "ethics" training and "verbal judo" in week one, and cultural diversity in week two. Additional training in weeks 21 and 23 cover additional topics in cultural diversity and verbal judo. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 37 requires the city to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct b y fellow officers, the importance of avoiding misconduct, and professionalism.
Methodology
The auditor has reviewed the bureau’s curriculum outlines for cultural diversity and ethics. According to academy records, all of the department’s sworn
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personnel have received training in ethics through the bureau’s new "career and personal survival" training component. The bureau has contracted with a nationally-recognized provider of training in police ethics, and has substantially revised the curriculum for the 2000 calendar year. The latest ethics training was conducted as part of the State of Pennsylvania’s mandatory training cycle. During the tenth quarter, the bureau received accreditation from the National Institute of Ethics. The agency’s eligible officers (excluding those officers on extended leave) continue to receive the state’s mandated “Leadership and Integrity” class during the 2001 training year.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 38 requires the city to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

Based on a review of the training records, the department has trained all of its officers in the OMI process, with the exception of officers who are on extended leave. All new recruits receive the training regarding the OMI complaint process as part of the academy training program.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.29 Compliance with Task 39: Encourage Qualified FTO
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 39 requires the city to recruit "highly qualified" Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the city to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.

Methodology

During the sixteenth quarter, the bureau added 13 new FTOs to its complement of training officers in order to p rovide field training for two sections of recruits currently working through the training process. Discussion at the fourteenth quarterly COMPSTAR meeting addressed methods for ensuring that quality FTOs are recruited, trained and deployed. The auditor conducted a complete assessment of the personnel files of these 13 officers during the sixteenth quarter, and found them to be highly qualified. The agency remains in compliance with this task, based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40: Train all FTOs and Instructors

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 40 requires the city to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the city require FTOs and instructors to "demonstrate on a regular basis, their proficiency in their areas of instruction."
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Methodology

During the sixteenth quarter, the bureau has trained an additional 13 officers as instructors/FTOs, using its five -day “Instructor Development” training syllabus previously approved by the audit team. The academy has made no changes in its evaluation processes used to assess the effectiveness of the FTO program, which has been previously approved by the audit team. The City remains in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 41 requires the city to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”

Methodology

A review of training records for the seventeenth quarter indicates the academy has continued its established processes for maintenance of training records. A full on-site review of training records was conducted by the audit team during the thirteenth quarter. No discrepancies were noted in training records. All instructors’ files reviewed contained certifications to teach the topics which they were teaching, and no missing data or other irregularities were noted.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.32 Compliance with Task 42: Document Mandatory Counselings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 42 requires the city to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of data for the seventeenth quarterly report, the audit team reviewed the department’s centralized file that is used to document mandatory counseling sessions ordered this quarter for PBP personnel. The Bureau continues to use, and document, mandatory counseling as part of its disciplinary processes, and documents these counselings in files maintained in the office of the chief of police.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Annual Supervisory and Leadership Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 43 requires the city to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.
Methodology

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The auditor assessed the training records for PBP senior supervisors (commanders and above). Command staff continue to receive training in integrity, command accountability, and cultural diversity through a series of courses offered by the training academy and the "POLEX" program. In addition, all command staff have received specialized training in managing organizational conflict. The mixture of training provided for command staff meets, in the opinion of the auditor, the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.34 Compliance with Task 44: OMI Quality Assurance
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 44 requires the city to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

The current OMI database is an effective management tool. Upgrades are currently underway for the system, which should make it even more effective in managing OMI caseload.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 45 requires the city to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.

Methodology

Members of the audit team reviewed disciplinary actions of the PBP command staff, and observed discussions among command personnel regarding disciplinary actions at the quarterly COMPSTAR personnel assessment. In addition, members of the audit team assessed DARs for evidence that past record and past performance is considered in assigning discipline. During the twelfth and thirteenth quarters, members of the command staff, using PARS and OMS, identified several members of the bureau for commendations based on their review, in part, of officers’ disciplinary records available in PARS. This aspect of the review process continues. All records and actions observed by the members of the audit team indicate that the supervisory and command staff routinely access PARS in making disciplinary and performance decisions. PARS and OMS were consulted heavily as part of the promotional processes completed in the first two quarters of 2001. The bureau is judged to continue to be in compliance with this task. The PARS system was also used in assessing candidates for promotion during the first two quarters of 2001.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 46 requires the city maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the city to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct a nd processes. The paragraph stipulates that the training provided to OMI civilian investigators will be "identical" to that received by OMI police investigators. The paragraph further requires that the city make the OMI manual available for inspection at PBP facilities and at the OMI office.

Methodology

During the site visit for the seventeenth quarter, the auditor reviewed the training records for OMI personnel. All new civilian personnel who have not received training at the academy have been scheduled for, or are currently attending, the recruit training process currently underway at the police academy. Also during the twelfth quarter OMI published its updated investigative manual. This update was completed during the site visit for the twelfth quarter, and was reviewed by the audit team during the thirteenth quarter. All revisions to the manual conform to reasonably accepted practice in the conduct of internal investigations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47: Receipt of Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 47 requires the city to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.
Methodology
The auditor reviewed all of the 34 final reports of completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complaina nts were "required" to complete any OMI form prior to receipt of the
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complaint and initiation of the investigation. None of the 34 files reviewed included any form completed by a complainant. Further, ample evidence exists to support the fact that complaints are received by telephone, letter and facsimile.

Status:

Primary: In Compliance

Secondary: In Compliance

Operational: In Compliance

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 48 requires that the city accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.
Methodology

Completed OMI complaints were assessed for the source of the complaint. No anonymous complaints were resolved this quarter. One anonymous complaint was resolved during the fifteenth quarter, however, and it was as completely investigated as possible. The city is judged to remain in operational compliance with task 48.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49: Closure of OMI Investigations

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. During the seventeenth quarterly review, the auditor found two complaints filed with the Office of Municipal Investigations, which were either "officially" withdrawn by the complainant filing the complaint, or in which the complainant refused further cooperation with the Office. Both of these complaints were investigated to completion by the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relo cate OMI
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 50 requires the city to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the city publicize the new OMI location.

Methodology

No change in compliance status was noted for this task during the seventeenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 51 precludes the city from requiring any complainant to come to PBP facilities to file a complaint o r provide a statement. In addition, the paragraph requires the city to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The city is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings "in all city buildings."

Methodology

The auditor reviewed supporting documentation for all of the citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a city facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews a t complainants’ and witnesses’ homes, over the telephone, and by meeting individuals at locations convenient to them. Of the 34 cases reviewed this quarter, evidence continues to exist suggesting that the office routinely makes itself available to citizens "in the field," either at alternative sites, the complainant’s home, or over the telephone. The auditor reviewed attendance logs for OMI’s quarterly meetings (August 16, 2001 through November 15, 2001), and reviewed the OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings. Records maintained by OMI reflect that the office continues to attend public meetings.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 52 requires the city to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.

Methodology

Notification of supervisory personnel of citizens’ complaints for officers under their command is accomplished through the PARS/OMS systems, and supervisors are held accountable for appropriate action in the quarterly COMPSTAR meetings. The city continues in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation
Q1 Q2 Q3 Q4 Q5

Responsibility for Complaint
Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 53 requires the city to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to "settle" OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.
Methodology

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A review of all 34 of the completed OMI investigations for this quarter reveals no evidence to indicate that the city does not remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Officers to Provide Name and Badge Number on Request
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, "Conduct Toward the P ublic" requires that "when requested by any person, a member shall give his name and badge number in a courteous manner."

Methodology

The auditor reviewed all OMI cases for the seventeenth quarter (August 16, 2001 through November 15, 2001) to determine if allegations of failure to provide name and badge number were made to OMI and sustained by investigation. One allegation was completed this quarter, the same number received during last quarter. The complaint was sustained. The bureau sustained one allegation of failure to provide name and badge number during the fifteenth quarter, and another during the sixth quarter. The bureau is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operationa l: In Compliance

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2.45 Compliance with Task 55: Interview of Complainants at Alternative Sites
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4 -2(B) of the OMI manual stipulates that OMI will arrange to interview complainants "off-site," if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted "off site." Among the 34 completed investigations assessed during this quarter, evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.46 Compliance with Task 56: OMI to Tape and Transcribe Interviews
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept "special reports" in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.
Methodology

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The OMI manual stipulates a "Tape Recorded Statement Form" and Section 4 -2 stipulates that all statements will be tape recorded. Section 6 -3 stipula tes that all tape-recorded statements will be transcribed. The auditor reviewed all cases completed this quarter by OMI. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases in which interviews were conducted after resolution of the Fraternal Order of Police’s "test case" on this issue included transcriptions of OMI interviews of officers, witnesses or complainants.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57: OMI Staff Access to PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 57 stipulates that OMI staff should be provided access to the city’s PARS. The manager of OMI, the intake coordinator and two investigators ha ve been trained in the use of the PARS. The office currently has virtually unlimited access to OMS/PARS to prepare complaint histories, assignment histories, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.48 Compliance with Task 58: OMI to Interview Supervisors at Scenes of Incidents Leading to Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to
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detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

The auditor reviewed all 34 completed OMI case investigations for the seventeenth quarter, noting instances in which supervisory personnel were apparently present at the scene of events leading to complaints. In all i nstances in which it could be determined that a supervisor was present, OMI conducted interviews of supervisors and included the information in the case packet.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.49 Compliance with Task 59: OMI to Canvass for Witnesses
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 59 requires OMI to canvas the scene of an incident for witnesses "as soon as possible" after receiving a complaint where canvassing could "reasonably yield" additional information.

Methodology
The auditor reviewed all completed OMI cases for the seventeenth quarter (August 16, 2000 through November 15, 2001) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Six of these cases appeared to involve fact situations or locations in which a canvass would potentially produce witnesses. All of the cases resulted in witness canvasses.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.50 Compliance with Task 60: OMI to Review Police Shootings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the seventeenth quarter and found none. In the past, however, all incidents involving police shootings were adequately reviewed by OMI investigators. The City remains in compliance based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: OMI to Aggressively Investigate Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17

Primary Secondary Operational

Paragraph 61 requires that OMI investigators "aggressively" investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.
Methodology
The auditor reviewed all OMI investigations completed from August 16, 2001 through November 15, 2001, to assess the level of completeness of the investigations. The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings
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and determinations and reporting. Of the 34 investigations reviewed, all but one was found to have been appropriately investigated. This case is discussed in section 2.53, below.

An error rate of one of 34 cases constitutes a 97.1 percent compliance rate, within the acceptable range. OMI was declared out of compliance with Task 61 during the fifteenth and sixteenth quarter, and was warned concerning this task during the four teenth quarter. The office was also warned concerning this task during the thirteenth quarter and again in the twelfth quarter. The monitor will continue to review this aspect of the City’s compliance carefully during future quarters.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.52 Compliance with Task 62: OMI to Act on Behavior "Outside the Four Corners"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled "outside the four corners" of the original complaint.

Methodology

Of the 34 investigations assessed for the seventeenth quarter, four involved

potential allegations of "collateral misconduct." All of these were completely

investigated.

Status:

Primary: In Compliance

Secondary: In Compliance

Operational: In Compliance

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2.53 Compliance with Task 63: OMI to Issue Final Reports
Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17
Primary Secondary Operational
Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.
Methodology
The auditor reviewed final reports of all 34 investigations completed by OMI between August 16, 2001 and November 15, 2001. In addition, the auditor reviewed supporting documentation for all reports issued this quarter. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Of the 34 case reports reviewed this quarter, one was deemed to require additional investigative work.
§ AQR17-A, which involved allegations of Conduct Unbecoming a Police Officer, and which fails to ask the accused officer the direct question concerning whether or not he engaged in the alleged behavior.
This constitutes an error rate of 2.9 percent, which within the allowable five percent error rate for completed investigations.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.54 Compliance with Task 64: OMI to be Adequately Staffed
Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17
Primary Secondary
Operational
Paragraph 64 requires the city to provide OMI with "sufficient staff, funds and resources to perform the functions required" by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree, is relatively easy to define: the office is adequately staffed when the number of completed cases equals the number of cases received by the office, over a protracted period of time. During the seventeenth quarter, the office completed 34 complaint investigations, and received 35. Substantive problems were noted with two investigations completed this quarter, leaving a total of 32 cases cleared and 35 received. The total number of cases pending was increased by two this quarter. Of 599 cases originally included in the “backlogged” case files, according to OMI data, 212 of those have been completed; none were cleared this quarter. More than 64 percent of the original backlog, identified by the city, remains, although many of these complaints are lodged against officers no longer with the department, and a large percentage involve minor complaints. Nonetheless, these cases remain to be resolved.
This is the third quarter in the last four in which OMI has cleared fewer cases than it received. This appears to be due to both an increase in the number of complaints received, and a possible diminution in the rate at which cases are cleared. Pursuant to an agreement between the parties, once compliance has been attained, failure to comply for two quarters in a row will result in loss of compliance status.
Additional personnel have been assigned to OMI this quarter, increasing the number of personnel assigned to investigate active cases from four to nine, effective November 15,2001. Plans have been articulated by the City to address the backlog, and to add even more personnel to OMI, some specifically assigned to backlogged cases. These personnel, and the plans to support them, were
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added too late in the quarter to have a direct impact on existing cases and OMI throughput (but are discussed in the executive summary of this report.
Further, analysis of the existing backlog, based on records provided by the city, indicates a troubling potential for a second “backlog” problem, as well as the known, existing backlog. The auditor’s analysis of electronic data from the OMI database indicates a total of 15 investigations pending more than 180 days, but less than 360 days. An additional 135 investigations have become seriously backlogged (361-900 days), making the possibility of locating witnesses, complainants and evidence much more difficult. The office has a total of 259 cases that are currently more than 720 days old (nearly two years old and older). Figure One, below, depicts the number of outstanding (unresolved) OMI cases in 180-day increments of days pending, effective November 2001.

Figure One: Length of Pending OMI Investigations, In Days

90 80 70 60 50 40 30 20 10
0
61-9901-121021-181081-363061-545041-727021-990001-11008801-11226601-11662201-11880001-11998801-22116601-22334401-22552201-22770001-22888801-3060 >3061

Status:

Primary: In Compliance Secondary: Not In Compliance Operational: Not in Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.

Methodology
The auditor reviewed all OMI investigations completed this quarter, and found all to conform to the preponderance of the evidence standard. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.56 Compliance with Task 66: No Preference for Officers’ Statements

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 66 stipulates that "there shall be no automatic preference of an officer’s statement over a complainant’s statement," and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed all of the 34 investigations of citizens’ complaints completed during the seventeenth quarter for conformance to this requirement. None of the completed investigations appeared to exhibit an automatic preference for police officers’ statements over those of witnesses. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.57

Compliance with Task 67: OMI Retains Final Investigative

Authority

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between August 16, 2001 and November 15, 2001, searching for a case that resulted in a finding that was "reversed" by a supervisor or senior supervisor. No such cases were found. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Change "Not Sustained" to "Not Resolved"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 68 requires the city to change the OMI disposition category of "Not Sustained"
Methodology
The auditor assessed all completed OMI investigations for the period of August 16, 2001 to November 15, 2001 to determine if the disposition of "Not Resolved"
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was appropriately used. All dispositions so declared were appropriate. The office is judged to remain in compliance with task 68.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69: OMI to Issue Quarterly Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 70 requires the appointment of an auditor for the consent decree b y July 16, 1997.

Methodology

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Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit was issued, dated December, 4 1997, and has been updated annually. The city is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the city is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Auditor to Perform Quarterly Assurance Checks

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

•

OMI final reports;

•

Substance and timeliness of 50 percent of all OMI investigations

completed;

•

Statistical information on the number and types of complaints filed with

OMI;

•

Statistical information on discipline imposed on sustained complaints;

•

Assessments of officer use of force, searches and seizures, and traffic

stops.

Methodology

Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.

Number and Type of Complaints Filed

Complaints filed with OMI over the last 16 quarters fall into three categories:

•

Type 1 (allegations of rules violations);

•

Type 2 (allegations relating to attitude and conduct); and

•

Type 3 (allegations of abuse).

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Type 1 allegations include failure to perform, neglect of "ministerial" duties, inaccurate reporting, violation of departmental orders such as those regulating secondary employment, minor events of conduct unbecoming an officer, etc Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self assigned investigations, and failure to perform or neglect of duty "on scene." Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse. Table One, below, depicts the number and type of citizens’ complaints received by OMI during the fourteen quarters covered by the consent decree.

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 17th Quarters (1997-2001)

Quarter

Type 1

Type 2

Type 3

1

18

9

26

2

22

15

39

3

33

32

59

4

42

19

84

5

33

18

58

6

8

12

24

7

25

1

15

8

14

16

13

9

39

0

35

10

39

60

48

11

18

27

41

12

14

0

14

13

5

30

7

14

4

11

15

15

16

8

32

16

12

6

16

17

7

3

24

349

267

550

Source: Electronic database provided by City of Pittsburgh, CIS.

Total 53 76 124 145 109 44 41 43 74 147 86 28 42 30 56 34 34
1166

Average Complaint Severity
Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated for the sixteen quarters covered by this report. The average (mean) severity of complaints filed with the office are represented in Figure Two, below. As the
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figure indicates, the average severity of complaints has dropped consistently since the beginning of the consent decree, but rose this quarter. The orange line in Figure Two (and other figures depicted in this report) is a linear regression analysis, designed to allow the reader to determine the "trend line" for a given set of data.
Figure Two: Average Severity Of Citizens’ Complaints, Quarters 1-16

3

2.5

2

1.5

1

0.5

0

Q1

Q2

Q3

Q4

Q5

Q6

A7

Q8

Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17

Disposition of Citizens’ Complaints
Complaints investigated by OMI are classified, upon completion, as one of four disposition categories:
§ Exonerated (evidence indicated that the event occurred, but that the officer was acting in conformance with the law or PBP policy);
§ Not Resolved (not enough information was available to prove or disprove the allegation);
§ Sustained (evidence indicated that the allegations were true); or § Unfounded (evidence indicated that the allegations did not occur).
Figure Three, below, depicts the rates at which OMI resolved the complaints received during the first seventeen quarters covered by this report The percentage of sustained complaints appears to have risen gradually over the
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seventeen quarters, while the variance has been high, as depicted by the orange “trend line” depicted in Figure Three.
Figure Three: Resolved Complaints by Disposition, by Quarter (1997-2001)

0.7

0.6

0.5 Sustained

0.4

Exonerated

Unfounded

0.3

Not Resolved

Linear (Sustained) 0.2

0.1

0

Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rate of Sustained Complaints
The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Four, below The data depicted in Figure Four were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any finding other than “sustained.”
Figure Four reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation. As with other data reported in this section, Figure Four deals only with investigations of complaints filed by citizens. Complaints investigated by OMI as a result of an internal infraction referred to OMI by the Bureau of Police are not included in these analyses.

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Figure Four: Rate of Sustained Citizens’ Complaints By Quarter (1997-2001)
0.3

0.25

0.2

0.15

0.1

0.05

0

Q3

Q4

Q5

Q6

Q7

Q8

Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.

Complaints Received and Complaints Cleared

The number of citizens’ complaints received by OMI during the last seventeen quarters, compared to the number of complaints resolved by the office is reported in Figure Five, below. As with all other data reported in this section, these data are also calculated using data provided by the city and “cleaned” by the auditor’s staff.

Figure Five reports two categories of data for the seventeen quarters covered by this report The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously) The second category reported identifies the number of complaints resolved by OMI investigation.

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Figure Five: Received v. Cleared Complaints By Quarter (1997-2001)

160 140 120 100
80 60 40 20
0

Cleared Received Linear (Received) Linear (Cleared)

Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of OMI Investigations
Data necessary to calculate the length of OMI investigations for the seventeenth quarter were developed using city electronic databases. Data reflecting the average time required to complete an OMI investigation are reflected in Figure Six, below. Overall, the length of time for completing current investigations is increasing slightly, from just over 150 days in the ninth quarter (the quarter the backlog squad was initiated) to slightly less than two hundred days in the seventeenth quarter (as represented by the linear regression in Figure Six). The actual average number of days required to investigate current and backlogged cases is depicted in Table Two, below.

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Table Two: Average Days to Complete OMI Investigations, Quarters Nine-Seventeen1

Q9 Q10 Q11 Q12 Q13 Q14 Q15

All

342 343 342 293 277 555 395

Backlogged 568 366

498 478 908 780

Current

182 64

141 165 326 170

Q16 Q17

65

44

0

0

65

44

Figure Six: Average Number of Days Required to Complete OMI Investigations1

1000 900 800 700 600 500 400 300 200 100 0

All Backlog Current Linear (Current)

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17

2.62 Compliance with Task 72: of Incomplete OMI Investigations

Auditor to Recommend Reopening

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

1 Data for the eleventh quarter were not available. Auditor’s Seventeenth Quarterly Report March, 2002 Public Management Resources San Antonio, Texas

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The auditor has reviewed all 34 final reports of OMI investigations of citizens’ complaints completed between. In addition, the auditor conducted a comprehensive review of supporting documentation for all cases completed during this time frame. Of those cases, one was remanded to the Office of Municipal Investigations for additional work. These cases are described in section 2.53, above.

2.63

Compliance with Task 73:

City to Prepare Progress Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter The first report was issued July 11, 1997; the second was issued January 16, 1998 The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The city remains in compliance with the requirements of task.

2.64 Compliance with Task 74: City to Maintain Records Necessary Methodology
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

All records requested by the auditor were provided in a timely fashion. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.65 Compliance with Task 75: Unrestricted Access for Auditor
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 75 requires the city to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

The auditor experienced unlimited access during audit processes for the seventeenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76:

Unrestricted Access for Justice

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 76 requires the city to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree Further it requires access to staff and facilities upon appropriate notice.
Methodology

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No changes in the access for Justice was noted this quarter. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.67 Compliance with Task 77: Officers

Copies of Consent Decree to All

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 77 of the decree requires the city to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations All such individuals are further required to sign a statement indicating that they have received, read and understand the consent decree. The city is required to retain these statements.

Methodology

The auditor has reviewed signature records retained by the city acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the city’s approach to compliance Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.68 Compliance with Task 78:

90 Day Timeline for Conformance

Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17

Primary Secondary Operational

Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree

Methodology

Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the PARS. The city is currently in primary compliance with 73 of the 74 provisions to which the city should have complied by now. The city is in secondary compliance with 73 of the 74 provisions due as of August 15, 1998. It is in operational compliance with only 72 of the 74 tasks, due as of August 15, 1998. Issues with the staffing of OMI have caused the office to fall out of compliance with two tasks this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

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3.0 Summary
The seventeenth quarterly report was substantially delayed by technical difficulties in the monitor’s office that resulted in the need to re-write and reprocess the report. As a result, the report, which was due to be submitted to the court in December 2001, was not submitted until March 2002.
The sixteenth and seventeenth quarters, ending November 15, 2001, were troubling quarters, serving as a potential precursor to serious difficulty in maintaining compliance with many aspects of the consent decree. The city is judged to have exhibited problematic performance with two tasks this quarter, including:
§ Task 64: OMI to be adequately staffed. During the seventeenth quarter, the office completed 34 complaint investigations, and received 35. Substantive problems were noted with one investigation completed this quarter, leaving a total of 33 cases cleared and 35 received. The total number of cases pending was increased by two this quarter
§ Task 78: 90 day timeline for conformance. The decree envisioned complete compliance by the city within 90 days of its implementation, or by July 16, 1997. More than four years later, the city remains out of compliance with four of the 74 tasks to which it committed in April 1997.
Two serious problems appear to be crystallizing.
§ First, the already troubling issue of backlogged cases has been exacerbated by reassignment of personnel committed to clearing the backlog. Although new personnel have recently been assigned to the backlog, a second pending backlog has developed. A timely resolution of the backlog issue (and resolution of the second wave of backlogged cases) is, in the opinion of the auditor, critical to compliance with the decree.
§ Second, it appears that the staff assigned to investigation of current cases appears to be suffering under a workload that is at the very upper levels of effectiveness. While additional personnel have been added to OMI, these additions came too late in the quarter to have an impact on this quarter’s performance.
The city has managed to make substantial changes in OMI processes since the end of the seventeenth quarter in November 2001. Since November 15, 2001, a full complement of six police officers have been assigned to OMI. Two full-time civilian investigators were assigned to OMI, one to work “current cases” and one
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Page -66 to work “backlogged” cases. Prior to the end of the seventeenth quarter, the city conducted a thorough review of all pending cases, and performed a managerial triage of these cases, establishing a priority-order for cases to be assigned to investigative personnel. A full-time assistant city attorney and a legal assistant were assigned to the office, as well. Production since November appears to have increased significantly. The eighteenth quarter will be the first quarter in which the impact of these changes will be able to be assessed by the monitor.
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 Page -1

1 Introduction

Auditor’s Eighteenth Quarterly Report Quarter Ending February 16, 2002

This document represents the eighteenth of an anticipated 20 "Auditor’s Quarterly Reports" (AQR) assessing the levels of compliance of the City of Pittsburgh (city) with the requirements of the consent decree (decree) entered into between the city and the United States Department of Justice (justice) on April 16, 1997. This document consists of three sections, identified below:

Introduction; Compliance Assessment; and Summary.

The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of "compliance" are described in Section One, "Introduction." Section Two, "Compliance Assessment," includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, "Summary," provides an overall assessment of the city’s performance for this quarter.

1.1

Overall Status Assessment

1.1.2 Dates of Project Deliverables

Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the city; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.

1.2 Format for Compliance Assessment

The AQR is organized to be congruent with the structure of the consent decree. It reports on the city’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated "early warning system," now known to the Bureau of Police as the Performance Assessment and Review System (PARS). The following components of the decree are treated similarly. Compliance is classified as primary, secondary and "operational," with the definitions specified in Section 1.4, below.
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1.3 Compliance Assessment Processes

1.3.1 Structure of the Task Assessment Process

Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:

•

Selection of a random sample, or

•

Selecting all available records of that type.

Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.

The performance of the PBP and the City of Pittsburgh (city) on each task outlined in the consent decree was assessed by the auditor during the quarter ending February 15, 2002. The site visit for this quarterly report was conducted during the week of February 4, 2002.

All determinations of status for the city and the PBP are data-based, and were formed by review of the following types of documents:

Official PBP documents prepared in the normal course of business; Official Office of Municipal Investigations (OMI) documents prepared during the normal course of business; and/or Electronic documents prepared by the city or components of city government during the normal course of business.

Where practicable, documentation forming the database for this audit was selected by the auditor and the auditor’s staff directly from PBP, OMI or city files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints, were assessed by reviewing OMI files, OMI electronic files, and zone performance files.

1.4

Operational Definition of Compliance

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For the purposes of this audit, "compliance" consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to "comply" as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the bureau.

During the eighteenth quarter of the decree, the city, the bureau and OMI have continued to implement the changes required by the decree, with specific exceptions noted in section 2.54, below.

1.5 Depicting Compliance Levels

This report uses both a narrative and graphic schema to depict compliance levels with the requirements of the consent decree. The narrative depiction labels compliance in the three categories as follows:

Status:

Primary: Compliance Level Secondary: Compliance Level Operational: Compliance Level

With appropriate compliance levels reported for each level of assessment.

The graphical depiction shows each level of compliance in relation to the time provided by the decree to reach compliance. The figure below depicts compliance levels on a hypothetical task.

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

The solid blue bar

indicates the time allowed by the decree to reach

compliance, in this case, one quarter. The “primary,” “secondary,” and

“operational” task bars indicate the time the agency took to achieve the various

levels of compliance. A vertically patterned light blue bar

indicates

compliance achieved within the time allowed. A checkered yellow-bar

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depicts compliance which was achieved in a period of time that was longer than

that allowed by the decree, but which does not, in the opinion of the auditor,

seriously affect the city’s successful compliance with the decree. A horizontally

patterned orange bar

indicates that compliance was achieved in a period of

time that was longer than that allowed by the decree, and which may affect

eventual compliance. A solid red bar

depicts that compliance was achieved

in a period of time that was longer than that allowed by the decree, and which, in the opinion of the auditor, does affect eventual compliance.

2

Assessment of Compliance

2.1

Methodology

The auditor assessed the city’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task
required by the consent decree and stipulates the methodology used to assess
compliance. Compliance was assessed as primary, secondary and "operational"
(see section 1.4, above).

The following sections of the eighteenth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the city has complied with the 74 tasks to which it agreed on April 16, 1997.

2.2

Assessing Compliance with Task 12: Automate the PBP Early

Warning System (PARS)

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-a of the decree requires the city and the PBP to automate the database tracking system currently in use to assess police officer performance, and to add functionality to the system, transitioning it to an "early warning system" which will assist the bureau in identifying and managing officer performance which may need improvement. The bureau has expanded the EWS concept into a Performance Assessment and Review System (PARS).
Methodology
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During the site visit for the eighteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted by obtaining PARS-specific data for the third quarter of 2001 and reviewing the performance factors for all PBP personnel. As part of this review, data were assessed for all active police officers, assessing particularly the officers whose activity levels were assessed to be one or more standard deviations above the mean for their workgroups in the areas of citizen complaints, search and seizure activity, use of force, discretionary arrests and traffic stop activity. Results of the auditor’s review are noted below.

A review of PARs data by command staff this quarter noted:

35 police officers who were continued on monitoring status based on previous indicators from earlier quarterly audits (the same number as noted during the previous quarter); 105 police officers whose performance in the area of warrantless search and seizure fell one or more standard deviations above their work group means; 130 officers whose performance in the area of the application of force fell one or more standard deviations above their work group means; 24 officers who were selected for review due to combined rankings for sick leave, citizens complaints, missed court, discretionary arrests and other indicators; and One officer who was the subject of gender or racial bias complaints.

In each of these cases, command staff review was appropriate, and related to the tenets of good supervision. A total of 37 supervisory actions (monitoring, discipline, counseling, etc) were taken by command staff based on this quarter’s COMPSTAR review and associated information. A continued supervisory presence was also noted this quarter compared to last, with clear evidence that supervisory personnel are using PARS, in conjunction with the performance evaluation process, to identify and respond to personnel not in compliance with departmental policies and to prevent possible infractions.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-a of the decree requires the city to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.

Methodology

During the site visit for the eighteenth quarterly audit, the auditor reviewed the city’s Performance Assessment and Review System (PARS). PARS is now completely operational, and was used by the PBP command staff to conduct its last quarterly analysis during the month of February 2002. The auditor’s review for the eighteenth quarter was conducted by reviewing 100 percent of the related data included in the PARS. The bureau and the city continue to inspect and audit the records in the PARS, and quality control is an on-going process. During the week of the auditor’s site visit, the command staff conducted its quarterly analysis of PARS data. During that analysis, the command staff reviewed the performance parameters of 295 officers who, based on their performance records during the quarter, fell one or more standard deviations above the mean for their work groups on the various tasks assessed by PARS, or who had higher numbers of overall performance indicators than their peers. From those 295 officers, command staff selected 37 for some form of continued or increased scrutiny, based on their performance over the last quarter. The PARS reports accurately on each of the parameters required by the consent decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-b of the decree requires the city to build into the PARS the ability to retrieve information from the PARS by officer, squad, zone, unit, regarding the execution of "discretionary arrests," traffic stops, searches and seizures, and use of force.

Methodology

During the site visit for the eighteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. A review of the capabilities of the PARS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. More than 100 random separate tests were performed, using data from PARS and its supporting OMS. The OMS reported accurately in each of the tests, and the PARS accurately reflected the data contained in the OMS.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 12-c of the decree requires the city to archive the records in the PARS for three years after the involved officers’ separation from service, and requires that all records be archived indefinitely. In addition, it requires the city to enter all relevant data for three years prior to April 16, 1997.
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Methodology

During the site visit for the eighteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. Data continue to be entered as required by the decree. The auditor found no instances of data being purged from the PARS in conflict with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-d requires the city to develop a protocol for use of the PARS that would:
Establish trigger thresholds for review of officer records by senior supervisors; Establish requirements for frequency of review of officer records by senior supervisors; Establish the types of corrective actions to be taken by senior supervisors; Establish confidentiality and security provisions for the PARS; Establish requirements for quality assurance checks of data input; and Have the protocol submitted for review 30 days before implementation.
Methodology
During the site visit for the eighteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted using a live database from the operational PARS.
Now that the PARS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the PARS by the consent decree. The
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operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer performance, in compliance with the requirements of the decree. Command staff use PARS and supporting systems to conduct quarterly analysis of personnel performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.3

Assessing Compliance with Task 13: Developing a Use of

Force Policy

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 13 requires the city to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the city to submit the policy to justice for approval prior to implementation.

Methodology

Further, the auditor conducted a thorough review of a random sample of 7.5 percent of 186 Subject Resistance Reports generated by PBP personnel during the quarter. The review conducted by the auditor indicates an acceptable level of command review. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 14 requires the city to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.

Methodology

The auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and identified all such records (one) that reported a strip search. All of the records of this reported strip search was reviewed by the auditor. The strip search was approved in advance by supervisory personnel, and was conducted in a location expressly approved for such procedures. The reported strip search was conducted in accordance with policy; however, the one strip search reported this quarter was not reported by the conducting officer in an acceptable manner. This discrepancy was immediately noted the same day by the officer’s supervisor, and remedial action was taken within three days. The officer involved in this incident has not had repetitive issues in report writing. The auditor found another incident of an apparently unreported strip search, associated with an OMI complaint, which was not reported as required by this policy. The allegation of failure to report a strip search was not investigated by OMI, and the case has been returned to OMI for additional investigative work (see AQR18-AQ in section 2.53). .

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.5

Assessing Compliance with Task 15: Written Reports of

Specific Police Actions

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 15 requires the city to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.

Methodology

The auditor reviewed a randomly selected sample of Subject Resistance Reports (SRRs) and Field Contact/Search/Seizure Reports (FCSSRs) to assess the level of accuracy of reporting and supervisory review for these reports. A 7.5 percent sample of 186 SRRs written during the eighteenth quarter was selected for review. In addition an 7.9 percent sample of 618 completed search and seizure reports was selected for review. A 100 percent sample of two strip searches was selected for review. While these samples are lower than in past audit cycles, this reflects ten straight quarters of 100 percent compliance on these tasks. All of the reports reviewed this quarter, with the exception of one, were found to be in compliance with the requirements for search and seizure and use of force reporting. The problematic report was noted by supervisory personnel on the same day it was written, and remedial action was taken within three days. The error rate remains within the acceptable margin of error, at zero percent. The auditor found another incident of an apparently unreported strip search, associated with an OMI complaint, which was not reported as required by this policy. The allegation of failure to report a strip search was not investigated by OMI, and the case has been returned to OMI for additional investigative work (see AQR18-AQ in section 2.53). Determination of the effect of this pending investigative work on this task is pending outcome of the OMI investigation.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.6

Assessing Compliance with Task 16: Reporting Traffic Stops

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 16 requires the city to establish reporting requirements each time a police officer makes a traffic stop. The city has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The bureau has begun collecting traffic stop data, using the form designed by the city. These data are available at the Zones, and have been entered into the PARS. The eighth quarter was the first quarter in which detailed assessment of traffic stop information was possible, as the tabular data from the PARS regarding traffic stops was available through the PARS as of this audit cycle.

Methodology

Traffic stop data for all stops completed by the Bureau were assessed by the monitoring team during the eighteenth quarter. The auditor found the traffic stop data to accurately reflect information included in the COMPSTAR review conducted by command staff. In addition, the audit team noted that the bureau had initiated disciplinary proceedings against two officers in the fourteenth and fifteenth quarters for failure to report traffic stops in accordance with bureau policy. Discipline assigned by the bureau for these infractions, in both cases, was a suspension of five days, pending termination. The bureau is judged to be in compliance with this task based on current and past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 17 requires the city to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The city has developed protocols requiring entry of data as required by the consent decree.

Methodology

The auditor has reviewed these protocols and found them to be acceptable. During his eighteenth quarterly site visit, the auditor tested data entry protocols by performing more than 100 individual tests of the system. The PARs and OMS reported accurately in each of these tests.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8

Assessing Compliance with Task 18: Audits of Use of Force

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 18 requires the city to cause supervisors and senior supervisors to conduct "regular audits" of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.

Methodology

The auditor reviewed a 7.5 percent sample of the 186 completed SRRs for the quarter. Each report was appropriately reviewed by command staff, and reports incorrectly completed were noted and re-routed for remediation. No errors were noted in the SRRs reviewed by the auditor.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. The bureau continues to complete quarterly analyses of use of force data, using the Officer Management System and PARS. The analysis identified use of force trends, as well as focusing on officers who recorded higher than average use-of-force rates. The command staff used the OMS and PARS to identify officers receiving complaints of excessive force, officers who had higherthan average levels of use-of-force rates in any one of the past four quarters, and to assess overall trends in use of force. These assessments became part of the quarterly "Computer Statistical Trend Analysis and Review" (COMPSTAR) meeting minutes, along with recommendations for counseling, retraining or other solutions to issues raised with specific officers’ use of force practices. Protocols require follow-up at the next quarterly command staff meeting to evaluate the effectiveness of these solutions.

Methodology

Using the PARS/OMS system, the auditor identified, during the eighteenth quarterly audit, 130 officers whose use of force statistics (or associated activity levels) were one or more standard deviations higher than their group norms, and who, in the auditor’s opinion, required further scrutiny. All zone commanders checked subject resistance report data as part of their routine quarterly analysis, and all 130 of the officers identified by the auditor were also noted by zone commanders. The increase in the rate of officers noted by the auditor this quarter, over previous quarters is due to the fact that, during the last four quarters, the auditor reviewed a 100 percent sample of SRR reports (electronically, using PARS data), rather than selecting a sample for review.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.9

Compliance with Task 19-a: Review Search and Seizure

Reports through Chain of Command

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-a requires the city to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.

Methodology

During the site visit for the eighteenth quarter, the auditor selected a random sample of 7.9 percent of 618 FCSSRs completed during the quarter. Each of these reports was analyzed to ensure the report met the requirements of task 19a. Further, each of the selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and investigation). The narrative of each of the reports was assessed, and supporting documentation, where available, was reviewed. The bureau continues to note incidents of poor reporting, when they occur, and continues to retrain officers who exhibit problematic reporting on search and seizure events.

Of the reports reviewed, one was judged to be problematic; however, this was noted by supervisory personnel on the same day the report was written, and remedial action was taken within three days. A second issue arose this quarter with an apparent strip search that was not appropriately reported. The auditor identified this issue through review of an OMI complaint, which failed to investigate the collateral misconduct of failure to report a strip search. Action on this incident is pending the outcome of the returned OMI case (see AQR18-AQ, section 2.53). The error rate for FCSSRs for the eighteenth quarter is zero (pending the OMI review). This is attributable, in part, to the internal review process established by the bureau, as well as increased scrutiny of FCSSRs by zone supervisors.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary
Operational
Paragraph 19-b requires the city to analyze the search and seizure activity of its officers on a quarterly basis.
Methodology
Command staff used search and seizure data, generated by PARS, to assess officers’ performance, identifying officers who were above average in this category. These officers were noted to be of two types: those who were active in search and seizure processes, but whose reports indicated no problematic behavior, and those whose activities indicated additional training, counseling, or supervision. The command staff selected the first group of officers for potential commendation, and the second group for potential remediation.
Using the PARS/OMS, the auditor identified 105 officers whose FCSSR data fell one or more standard deviations above the mean for their work groups. All of the zone commanders reviewed each officer under their command whose FCSSR data exceeded work group norms by one or more standard deviation. This review included a thorough review of both electronic data, and a review of actual FCSSRs completed by these officers. The command staff review noted each of the 105 officers identified, independently, by the auditor as indicating a need for further scrutiny. The increase in numbers of officers identified by the auditor is due to the fact that, during the last four quarters, the auditor drew a 100 percent sample of PARS FCSSR data for analysis. A potential problem with this task was noted by the auditor this quarter during a review of an OMI case investigation which appeared to include information concerning an unreported strip search. The auditor has returned the case (AQR18-AQ) to OMI for additional investigation.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-a requires the city to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing complaints received by the Office of Municipal Investigations, the auditor screened these complaints for allegations of racial or gender bias. During the eighteenth quarter, one allegation of racial or gender bias on the part of bureau officers was received by OMI. Racial bias complaints are monitored closely by command staff, and each quarterly COMPSTAR review includes a discussion of the status of these complaints, as well as the nature of the review conducted pursuant to the policy outlining PARS protocols for racial bias complaints. In addition, three complaints of racial bias were received, but investigations of the allegations were pending. Command staff implemented monitoring protocols as required by the decree in response to these three complaints.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 20-b requires supervisors to use the PARS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. The bureau, during the week of November 2, 1999, developed a specific protocol for quarterly analysis of potential indicators of racial bias. The protocol requires the command staff to review an officer’s complete PARS file if any of eight events involving the officer occur during any given quarter.

These events include:

•

Notation on the Supervisor’s Daily Activity Report (SDAR) of any

indication of racial or gender bias on the part of a given officer;

•

A complaint by a supervisor of racial or gender bias against an officer;

•

A peer compliant of racial or gender bias;

•

An OMI complaint of racial or gender bias;

•

Filing of a lawsuit, in which the officer is named, contending racial or

gender bias;

•

Any indication, during a normal review of routine police reports (offense

reports, arrest reports, search and seizure reports, subject resistance

reports, etc.) that an officer indicates potential racial or gender bias;

•

Comments made by an officer indicating racial or gender bias; or

•

A non-OMI complaint of gender or racial bias.

The quarterly analysis conducted by command staff during the week of February 4, 2002 identified one officer with at least one of these "trigger" events. This event was analyzed by command staff in accordance with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 21-a requires the city to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a two-year period, or five or more complaints in a two-year period.
Methodology
The auditor reviewed all discipline imposed by the bureau for the eighteenth quarter. Based on records obtained from the office of the chief of police, eight individual disciplinary actions, involving citizens’ complaints, were taken by the bureau during the period of time covered by this report. The auditor reviewed all disciplinary actions reported for the eighteenth quarter, and found the decisions of the command staff to be reasonable, based on the tenets of progressive discipline.
Based on the protocols of progressive discipline, the bureau is responding within its anticipated range of responses in delivering discipline. Offenses recorded for these eight disciplinary actions included:
Violation of the code of ethics; Conduct toward the puclic; and Conduct unbecoming a police officer.
Discipline for the eight incidents involving interactions with the public included:
Oral reprimands; Written reprimands; and Conflict resolution retraining.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 21-b requires the city to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on review of officer behavior.

Methodology

The auditor reviewed the bureau’s disciplinary processes for November 16, 2001 to February 15, 2002. The bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the bureau included retraining, counseling, and other appropriate forms of "retraining" and "counseling," including assignment to conflict resolution retraining.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.2

Compliance with Task 21-c: Consider Prior Record in

Determining Discipline

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 21-c requires the city to consider an officer’s prior record in determining discipline.

Methodology

According to records provided by the bureau and the Office of Municipal Investigations, eight individual disciplinary actions were taken by the bureau this quarter. Each of the eight disciplinary actions taken by the bureau was reviewed for evidence that prior disciplinary records were considered when imposing discipline. One of the disciplinary actions taken this quarter indicated a modification to discipline based on past record.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.12 Compliance with Task 22: Disciplinary Files at the Zone Level
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 22 requires the PBP to establish disciplinary action files, or "performance files" at the zone level.

Methodology

During the site visit for the fifteenth quarterly report, members of the monitoring team reviewed performance files and supervisory daily activity reporting at all zones (One through Six and SDD). Supervisory activity remains at acceptable levels, with officers (and some supervisory personnel) selected for “monitoring” showing an active supervisory review of their activities. Based on some minor problems noted during the sixteenth quarterly site visit, the monitor conducted a thorough review of supervisor activity reports for “canned language” during the seventeenth quarter No problems of this nature were noted in supervisory reports during that quarterly review. No zone site visit inspections were made for the eighteenth quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual Performance Evaluation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 23 requires the city to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.
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Methodology

During the site visit for the sixteenth quarterly report the audit staff reviewed nearly three dozen police performance evaluation files. Each of the personnel files reviewed this quarter contained performance evaluations completed in accordance with established policy. While a small number of files were missing at least one performance evaluation report, all of these were from the most recent evaluation period. Upon notice to the bureau by the auditor, all records were located and placed in the appropriate files. No assessment of this task was conducted for the eighteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 24 requires the city to use performance evaluations as a factor in promotional decisions.

Methodology

During the sixteenth quarter, members of the audit staff reviewed a 100 percent sample of the personnel files for two police members promoted during the third quarter of 2001. All of those promoted appeared to have been carefully evaluated, and promotions were made only of members who “met or exceeded” performance evaluation criteria. No promotions were made during the eighteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.15 Compliance with Task 25: Provision of an Employee Assistance Program
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 25 requires the city to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.

Methodology

Evidence continues to exist to support the bureau’s operational compliance with paragraph 25. Reviews of zone "performance files" indicate that the EAP has been used by departmental personnel and departmental managers. Bureau discipline continues to use the EAP as part of its progressive discipline campaign. The city continues to sponsor EAP-related forums and to advertise the availability of EAP offerings. One employee was placed on extensive “Track III” employee assistance during the fifteenth quarter, in lieu of termination, and two employees were suspended for five days (pending termination) for violation of their Track III agreements. No new Track III activity was noted during the eighteenth quarter. The city remains in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.16 Compliance with Task 26: Notification of Adverse Involvement
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

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Paragraph 26 requires the city to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the city to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

A review of Bureau records indicates that the bureau continues to monitor its officers’ activities for adverse involvement. The bureau’s records included notice regarding pending civil litigation (not related to duty incidents), and filed civil court orders. Discipline during the thirteenth quarter involved one incident of disciplinary action for failure to provide notice of adverse involvement. No finding of liability was noted this quarter. Three incidents of adverse involvement, all appropriately reported, were noted this quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.
Methodology
The bureau has established an agreement with the district attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearings lost as a result of illegal activity. Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP

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98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum "detailing the results of the hearing."

PBP policy calls for these memoranda to be forwarded to OMI for their review. Based on concerns expressed by the auditor that the DA’s office has forwarded no notifications of lost suppression hearings, etc., the chief of police has modified the reporting practice between the district attorney and the bureau. Court liaison personnel have begun to specifically inquire monthly, about allegations of false arrest or improper searches on the part of PBP officers. During the eighteenth quarter, three such inquiries were made of the DA’s staff. The auditor reviewed reports of these inquiries, which noted no lost suppression hearings due to poor probable cause, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.18 Compliance with Task 28: Sanctions for Officers Involved in Settled Litigation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 28 requires the city to implement appropriate discipline "as the circumstances and OMI investigation warrant," in all instances in which PBP officers are the subject of civil litigation.

Methodology

Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation noted during the eighteenth quarter, and none were found. During the sixth quarterly audit, however, the department received notification of settled litigation involving two Bureau officers. During the seventh quarter, this case was reviewed by command staff, and disciplinary action was taken in April, 1999. It is clear from the review that the bureau continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.19 Compliance with Task 29: Provision of Legal Advisor Services

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 29 requires the city to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

Methodology

The auditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the bureau, publishing legal bulletins, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.20 Compliance with Task 30: Develop a Rotation Schedule

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.

Methodology

The PBP continues to implement its rotation plan. The plan, supported by Chief’s Memo 97-550, requires routine consent-decree transfers in January of each year. Each January since implementation of this policy, the bureau has transferred sufficient numbers of personnel to remain in compliance with this task. In January, 2002, the bureau transferred a total of 81 officers and supervisors. In addition, during the thirteenth quarter, the bureau transferred all but two of its commanders, assigning each to new duties.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 31 requires the PBP to "make every effort" to participate in community meetings, including those oriented toward minority groups.

Methodology

The auditor reviewed monthly attendance logs for police zones for the months of November 16, 2001 to February 15, 2002. The logs show multiple community meetings attended by PBP personnel. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.22 Compliance with Task 32:

Televise OMI’s Function

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the city to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. The city continues to air television "spots" highlighting the function and process of the Office of Municipal Integrity. The city has also printed a brochure explaining the OMI function and has distributed the brochure to all of the city’s community organizations and placed these brochures in all city buildings. Television PSAs have been revised, although additional work is pending, and thus have not been reviewed by the auditor, as of this writing.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.23 Compliance with Task 33: Provision of Training in Cultural Diversity
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 33 requires the city to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.
Methodology

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The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted three site-visits of the training academy, and have interviewed many of the personnel assigned to the training academy. The bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 2001 and early 2002, the bureau has continued to train its officers in the topics of cultural diversity, "effective communication" and ethics. The Bureau is on pace to train all of its officers in the required topics during the annual training cycle.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 34 requires the city to establish monitoring systems which will assess citizen’s complaints for indicators of needs in training or re-training. The bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.
Methodology
In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports. In addition, the auditor reviewed the academy’s quarterly training assessment report.
It continues to be clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the past nine quarters, training academy staff completed a review of citizen’s complaints and use of force reports with the aim of improving, where applicable, training curricula. Reports from the academy continue to be reviewed, assessed and critiqued by command staff.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 35 requires the city to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de escalation training "into all other training that implicates the use of force."

Methodology

To date, for the training year 2002, the bureau continues to train its eligible officers (excluding officers on extended medical or similar leave, and thus not performing police duties) in "verbal judo" and/or tactical communications. The bureau-wide process of reviewing all use-of-force curricula has been completed, and a new "use of force" training curriculum has been implemented by the bureau. A total of 98 percent of the officers subject to this training received it during the last training cycle, and retraining is in progress for the 2002 training cycle.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 36 requires the city to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation "at the beginning of the training curriculum to serve as a foundation for all other classes. The recruit curriculum offered "ethics" training and "verbal judo" in week one, and cultural diversity in week two. Additional training in weeks 21 and 23 cover additional topics in cultural diversity and verbal judo. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 37 requires the city to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

Methodology

The auditor has reviewed the bureau’s curriculum outlines for cultural diversity and ethics. According to academy records, all of the department’s sworn personnel have received training in ethics through the bureau’s new "career and personal survival" training component. The bureau contracted with a nationally recognized provider of training in police ethics, and substantially revised the curriculum for the 2000 calendar year. The latest ethics training was conducted as part of the State of Pennsylvania’s mandatory training cycle. During the tenth quarter, the bureau received accreditation from the National Institute of Ethics. The agency’s eligible officers (excluding those officers on extended leave) continue to receive the state’s mandated “Leadership and Integrity” class during the 2002 training cycle.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 38 requires the city to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

Based on a review of the training records, the department has trained all of its officers in the OMI process, with the exception of officers who are on extended leave. All new recruits receive the training regarding the OMI complaint process as part of the academy training program.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.29 Compliance with Task 39: Encourage Qualified FTO
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 39 requires the city to recruit "highly qualified" Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the city to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.
Methodology
During the sixteenth quarter, the bureau added 13 new FTOs to its complement of training officers in order to provide field training for two sections of recruits
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currently working through the training process. Discussion at the fourteenth quarterly COMPSTAR meeting addressed methods for ensuring that quality FTOs are recruited, trained and deployed. The auditor conducted a complete assessment of the personnel files of these 13 officers during the sixteenth quarter, and found them to be highly qualified. No new FTOs were selected during the eighteenth quarter. The agency remains in compliance with this task, based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40: Train all FTOs and Instructors

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 40 requires the city to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the city require FTOs and instructors to "demonstrate on a regular basis, their proficiency in their areas of instruction."

Methodology

During the sixteenth quarter, the bureau trained an additional 13 officers as instructors/FTOs, using its five-day “Instructor Development” training syllabus previously approved by the audit team. The academy has made no changes in its evaluation processes used to assess the effectiveness of the FTO program, which has been previously approved by the audit team. The City remains in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.31 Compliance with Task 41: Maintenance of Training Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 41 requires the city to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”

Methodology

A review of training records for the eighteenth quarter indicates the academy has continued its established processes for maintenance of training records. A full on-site review of training records was conducted by the audit team during the thirteenth quarter. No discrepancies were noted in training records. All instructors’ files reviewed contained certifications to teach the topics which they were teaching, and no missing data or other irregularities were noted.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.32 Compliance with Task 42: Document Mandatory Counselings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 42 requires the city to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.
Methodology

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During the auditor’s review of data for the eighteenth quarterly report, the audit team reviewed the department’s centralized file that is used to document mandatory counseling sessions ordered this quarter for PBP personnel. The Bureau continues to use, and document, mandatory counseling as part of its disciplinary processes, and documents these counselings in files maintained in the office of the chief of police.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Annual Supervisory and Leadership Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 43 requires the city to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.

Methodology

The auditor assessed the training records for PBP senior supervisors (commanders and above). Command staff continue to receive training in integrity, command accountability, and cultural diversity through a series of courses offered by the training academy and the "POLEX" program. In addition, all command staff have received specialized training in managing organizational conflict. The mixture of training provided for command staff meets, in the opinion of the auditor, the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.34 Compliance with Task 44: OMI Quality Assurance
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 44 requires the city to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

The current OMI database is an effective management tool. Upgrades are currently underway for the system, which should make it even more effective in managing OMI caseload.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 45 requires the city to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.
Methodology

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Members of the audit team reviewed disciplinary actions of the PBP command staff, and observed discussions among command personnel regarding disciplinary actions at the quarterly COMPSTAR personnel assessment. In addition, members of the audit team assessed DARs for evidence that past record and past performance is considered in assigning discipline. During the twelfth and thirteenth quarters, members of the command staff, using PARS and OMS, identified several members of the bureau for commendations based on their review, in part, of officers’ disciplinary records available in PARS. This aspect of the review process continues. All records and actions observed by the members of the audit team indicate that the supervisory and command staff routinely access PARS in making disciplinary and performance decisions. PARS and OMS were consulted heavily as part of the promotional processes completed in the first two quarters of 2001. The bureau is judged to continue to be in compliance with this task. The PARS system was also used in assessing candidates for promotion during the first two quarters of 2001.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 OMI Compliance Assessments

This quarter represents a marked departure from standard review practices for completed OMI investigations. Normally, the auditor reviews at least 50 percent of all completed investigations; however, this quarter, the auditor changed the review process to focus more closely on investigations completed by OMI under a revised investigative protocol. This quarter, the city submitted to the auditor two sets of investigations, 85 investigations completed under the city’s new investigative protocol (described in more detail below) and 61 investigations completed under the city’s standard investigative protocol. The auditor selected 47 of 89 investigations completed under the new protocol under an agreement that the auditor would review these investigations and provide feedback to the city regarding the appropriateness of the newly revised investigative protocol. The auditor also reviewed 35 of the 61 investigations completed under the city’s standard investigative protocol.

The City had briefed the auditor and the Department of Justice on its revised investigative protocols on two separate occasions, receiving suggestions and comments from both parties. The revised protocol called for the City to identify cases which had aged beyond timelines which were deemed suitable for complete investigation, e.g., witnesses were no longer locatable, complainants had moved and could not be located, police records had been destroyed as part of the normal course of purging older records, etc. These cases were to be
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investigated and reported using a “memo” form, which developed dispositions based on components still available to the Office, e.g., court records, medical records, existing police reports, etc.
The City submitted to the auditor 85 cases completed under this revised protocol. All 85 of the closed investigations using this revised protocol were assessed for reasonableness of final dispositions and conformance to accepted standards and practices in police internal affairs investigations—given the age of many of the cases, and the auditor selected a total of 47 of these (55.2 percent) for a more detailed review. The City also submitted 61 conventional investigations, completed under the existing OMI investigative protocols. The monitor selected 35 of those (57.3 percent) for review. In all the auditor selected 82 of 146 completed cases, or 56.1 percent of all completed cases.
The auditor returned 32 of the 34 reviewed investigations completed under the revised protocol to the City, expressing concerns that, in the vast majority of completed “new form” investigations, the implementation of the revised protocol extended beyond the auditor’s understanding of its proposed use by the City. Of the 32 returned cases, completed under the revised investigative protocols, the vast majority (27) were returned because, in part, it appeared that the investigations failed to adhere to the requirement expressed in Task 61 of the decree which requires the Office to aggressively investigate allegations of misconduct. The second largest block, 10 of the 32 returned cases, exhibited failures to conform to the requirements of Task 65 of the decree, which requires OMI to use a preponderance of the evidence standard in analyzing the facts of investigations. All but 12 of the problematic cases suffered multiple difficulties. Two aspects of the “new form” investigative process, however, were exceptionally troubling to the auditor. First, eight of the 32 “new form” investigations showed illogical leaps to unfound cases. For example, cases alleging improper handcuffing and excessive force were “unfounded” because the complainants were “found or pled guilty to an arrestable offense.” Another case “exonerated” an allegation that a male officer grabbed a female driver’s breasts during a search pursuant to a traffic stop. Under the OMI manual, “Exonerated” dispositions are appropriate if “the accused employee followed all appropriate policies and procedures that apply to the circumstances under investigation.” Such a finding makes sexual assault an appropriate police activity, and obviously cannot stand. Second, 11 of the cases closed using the revised protocols were substantially aged cases, some more than four years old, which, on their face, appeared to be potentially credible complaints of serious constitutional violations, but which were closed without painstaking investigation.
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Based on the preliminary review of the City’s revised investigative protocols, the auditor has suggested substantive revisions to these protocols, requiring the investigation of allegations of constitutional deprivations to the best standard practicable, given the age of cases and the nature of the allegation. The auditor is aware that as cases age, they become more difficult to investigate; however, the auditor is gravely concerned that a number of cases alleging serious constitutional violations, that, on their face appear potentially credible, had been allowed to age three or four years before being completed through the City’s revised investigative protocols. The auditor repeatedly advised the City, beginning in 1998, to guard against allowing serious allegations to age to the point that they were not susceptible to investigation. Nonetheless, at least three such cases were presented to the auditor under the revised investigative protocol used this quarter.
2.36a Compliance with Task 46: Maintenance of OMI Manuals and Training
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary
Secondary
Operational
Paragraph 46 requires the city maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the city to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be "identical" to that received by OMI police investigators. The paragraph further requires that the city make the OMI manual available for inspection at PBP facilities and at the OMI office.
Methodology
During the site visit for the eighteenth quarter, the auditor reviewed the training records for OMI personnel. It appears that all civilian employees may not have received the training required by the decree. A complete, detailed review of the training process is scheduled for the nineteenth quarterly report. A problem also was noted with the Office’s manual. While all formal revisions to the manual conform to reasonably accepted practice in the conduct of internal investigations, a revision in implementation of the manual does appear to have taken place, without notice to the auditor. Based on interviews conducted with OMI investigators, it appears that implementation of section 6-3 (C-12) has been
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modified from a process that discusses areas of the investigation with accused employees to one that shares with accused employees the questions which will be asked during the taped interview. This change, it appears, was effected by a change in the orientation training, made sometime in March, 2002. This change marks a substantial change in operating procedures for the unit, yet was not accompanied by notice to the auditor. A process of sharing exact (or paraphrased) questions with accused officers, prior to a taped interview, does not conform to reasonably accepted practice in the conduct of internal investigations. Such a procedural change would not be approved by the auditor as a formal change to the OMI Manual, nor is the operational process acceptable. Based on the agreement of the parties, once compliance has been attained, two quarters of non-compliant action will result in loss of compliance. Continued use of this practice will result in loss of compliance for this task.

In addition, three cases were closed with a final disposition of “other,” during the eighteenth quarter. “Other” is not a recognized disposition in the OMI Manual, and is not a change approved by the auditor. Based on the agreement of the parties, once compliance has been attained, two quarters of non-compliant action will result in loss of compliance. Continued use of this practice will result in loss of compliance for this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.37 Compliance with Task 47: Receipt of Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 47 requires the city to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.
Methodology
The auditor reviewed all of the 61 final reports of completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were "required" to complete any OMI form prior to receipt of the
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complaint and initiation of the investigation. None of the 61 files reviewed included any form completed by a complainant. Further, ample evidence exists to support the fact that complaints are received by telephone, letter and facsimile.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 48 requires that the city accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

Methodology

Completed OMI complaints were assessed for the source of the complaint. No anonymous complaints were resolved this quarter. One anonymous complaint was resolved during the fifteenth quarter, however, and it was as completely investigated as possible. The city is judged to remain in operational compliance with task 48.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49: Closure of OMI Investigations

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. During the eighteenth quarterly review, the auditor found eight complaints filed with the Office of Municipal Investigations, which were either "officially" withdrawn by the complainant filing the complaint, or in which the complainant refused further cooperation with the Office. Eight of these complaints were investigated to completion by the Office. The city is judged to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.40 Compliance with Task 50: Relocate OMI
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 50 requires the city to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the city publicize the new OMI location.

Methodology

No change in compliance status was noted for this task during the eighteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 51 precludes the city from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the city to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The city is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings "in all city buildings."

Methodology

The auditor reviewed supporting documentation for 82 of the citizens’ complaint investigations completed during this quarter to determine if OMI personnel or police personnel required any complainant to come to a city facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes, over the telephone, and by meeting individuals at locations convenient to them. Of the 61 cases reviewed this quarter, evidence continues to exist suggesting that the office routinely makes itself available to citizens "in the field," either at alternative sites, the complainant’s home, or over the telephone. The auditor reviewed attendance logs for OMI’s quarterly meetings (November 16, 2001 through February 15, 2002), and reviewed the OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings. Records maintained by OMI reflect that the office continues to attend public meetings.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 52 requires the city to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.

Methodology

Notification of supervisory personnel of citizens’ complaints for officers under their command is accomplished through the PARS/OMS systems, and supervisors are held accountable for appropriate action in the quarterly COMPSTAR meetings. The city continues in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.43 Compliance with Task 53: Investigation
Q1 Q2 Q3 Q4 Q5

Responsibility for Complaint
Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 53 requires the city to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to "settle" OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.
Methodology
This quarter represents a marked departure from standard review practices for completed OMI investigations. Normally, the auditor reviews at least 50 percent
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Page -45

of all completed investigations; however, this quarter, the auditor changed the review process to focus more closely on investigations completed by OMI under a revised investigative protocol. This quarter, the city submitted to the auditor two sets of investigations, 32 investigations completed under the city’s new investigative protocol (described in more detail in section 2.36, above) and 61 investigations completed under the city’s standard investigative protocol. The auditor selected all investigations completed under the new protocol under an agreement that the auditor would review these investigations and provide feedback to the city regarding the appropriateness of the newly revised investigative protocol. The auditor also reviewed 12 of the 123 investigations completed under the city’s standard investigative protocol.

A review of all 82 of the completed OMI investigations for this quarter reveals no evidence to indicate that the city does not remain in compliance with this task. Interviews with OMI investigators, conducted this quarter, indicate that at least two police commanders have had contact with OMI investigators concerning their findings in given cases. While preliminary indications are that these contacts were to encourage additional investigative avenues, the auditor has pulled both of these cases for further review, which will be completed for the nineteenth quarterly report.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Officers to Provide Name and Badge Number on Request
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, "Conduct Toward the Public" requires that "when requested by any person, a member shall give his name and badge number in a courteous manner."
Methodology
The auditor reviewed all OMI cases for the eighteenth quarter (November 16, 2001 through February 15, 2002) to determine if allegations of failure to provide
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name and badge number were made to OMI and sustained by investigation. Six allegations were completed this quarter. Three of these were returned for additional investigation, in part because the completed investigations did not address the badge number allegations. This is the first quarter in several that OMI has experienced difficulty with this task. Based on an agreement between the parties, once compliance has been attained, two consecutive quarters of noncompliance will result in withdrawal of compliance status. Continued problems in this area will result in loss of compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.45 Compliance with Task 55: Interview of Complainants at Alternative Sites
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants "off-site," if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted "off site." Among the 82 completed investigations assessed during this quarter, evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.46 Compliance with Task 56: OMI to Tape and Transcribe Interviews
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept "special reports" in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

The OMI manual stipulates a "Tape Recorded Statement Form" and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed 35 of the 61 cases completed this quarter by OMI. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. All cases in which interviews were conducted after resolution of the Fraternal Order of Police’s "test case" on this issue included transcriptions of OMI interviews of officers, witnesses or complainants.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57: OMI Staff Access to PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 57 stipulates that OMI staff should be provided access to the city’s PARS. The manager of OMI, the intake coordinator and two investigators have been trained in the use of the PARS. The office currently has virtually unlimited access to OMS/PARS to prepare complaint histories, assignment histories, etc. This access is provided through the Manager of the Office.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.48 Compliance with Task 58: OMI to Interview Supervisors at Scenes of Incidents Leading to Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

The auditor reviewed 35 of 61 completed OMI case investigations for the

eighteenth quarter, noting instances in which supervisory personnel were

apparently present at the scene of events leading to complaints. No consistent

failures to interview supervisory staff who were present at the scenes of incidents

resulting in complaints were noted this quarter.

Status:

Primary: In Compliance

Secondary: In Compliance

Operational: In Compliance

2.49 Compliance with Task 59: OMI to Canvass for Witnesses
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 59 requires OMI to canvass the scene of an incident for witnesses "as soon as possible" after receiving a complaint where canvassing could "reasonably yield" additional information.
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Page -49

Methodology
The auditor reviewed all completed OMI cases for the eighteenth quarter (November 16, 2000 through February 15, 2002) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Five of these cases appeared to involve fact situations or locations in which a canvass would potentially produce witnesses. Three of the cases resulted in witness canvasses, resulting in a failure rate of 40 percent. Based on an agreement between the parties, once compliance has been attained, two consecutive quarters of non-compliance will result in withdrawal of compliance status. Continued problems in this area will result in loss of compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.50 Compliance with Task 60: OMI to Review Police Shootings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.

Methodology

The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the eighteenth quarter and found two. Those incidents were reviewed by OMI as required in the OMI Manual.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.51 Compliance with Task 61: OMI to Aggressively Investigate Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17 Q18

Primary Secondary Operational

Paragraph 61 requires that OMI investigators "aggressively" investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.

Methodology

The auditor reviewed all OMI investigations completed from November 16, 2001 through February 15, 2002, to assess the level of completeness of the investigations. The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting. The office completed 61 conventional investigations during the eighteenth quarter. In addition, 85 other complaints were processed by the office using new policies and procedures anticipated for full implementation later this year. The auditor reviewed 35 completed investigations finished using the conventional investigative process. Five of these completed investigations were returned for further investigation, constituting an error rate of 5 of 35 cases or 14.3 percent, a rate obviously not within the acceptable range. OMI was declared out of compliance with Task 61 during the fifteenth and sixteenth quarters, and was warned concerning this task during the fourteenth quarter. The office was also warned concerning this task during the thirteenth quarter and again in the twelfth quarter. During the past five quarters, OMI has been out of compliance with this task four times, and has been “under warning” an additional three quarters. These failures appear to be attributable to informal policy changes, problems with training for OMI staff (noted in several previous reports), and oversight.

Status:

Primary: Not In Compliance Secondary: Not In Compliance Operational: Not In Compliance

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2.52 Compliance with Task 62: OMI to Act on Behavior "Outside the Four Corners"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled "outside the four corners" of the original complaint.

Methodology

Of the 35 investigations assessed for the eighteenth quarter, six involved potential allegations of "collateral misconduct." Only three of these were completely investigated. Three of the completed investigations returned for additional work this quarter were returned, in part, because the investigation failed to address issues of collateral misconduct. Based on an agreement between the parties, once compliance has been attained, two consecutive quarters of non-compliance will result in withdrawal of compliance status. Continued problems in this area will result in loss of compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.53 Compliance with Task 63: OMI to Issue Final Reports
Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17 Q18

Primary Secondary Operational

Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.
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Methodology
The auditor reviewed final reports of all investigations completed by OMI between November 16, 2001 and February 15, 2002. In addition, the auditor reviewed supporting documentation for 12 reports issued this quarter. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Of the 12 case reports reviewed this quarter, five were deemed to require additional investigative work.
1. AQR18-C, a complaint of excessive force. The complaint is unfounded since the target officer is no longer employed by the Bureau of Police. The complainant does note that two other officers “knocked my head against the wall entering the hospital,” and this allegation is simply not addressed.
2. AQR18-F, a complaint involving allegations of conduct unbecoming an officer, alleging the target officer was at a private residence during the early morning hours, pounding on the owner’s door and refusing to leave. His actions resulted, apparently, in two 911 calls, to which officers responded. The credibility assessment fails to note that the officer has four other open OMI complaints involving allegations of inability to control his temper, and states, instead, that the officer has “no relevant OMI history”. The case is unfounded because the target officer “was off-duty and acting as a private citizen.” The OMI report characterizes the target officer’s behavior as “knocking on the door,” even though the officers responding noted the call was for “a disorderly person banging on the rear door” and “refus[ing] to leave until [the complainant] called the police. It appears that a preponderance of the evidence supports the contention that the target officer violated section 3.6.1 of the PBP General Orders, which prohibits “conduct prejudicial to the reputation or good name of the Bureau of Police, both on- and off-duty.” The facts indicate that the target officer was at the location twice (1:30 am and 2:45 am), was known by the complainant to be a Pittsburgh Police Officer, and based on the best information available, the target officer refused to leave the residence on request of the owner. Actions attributed to the officer include trespassing and disorderly conduct, both criminal violations. That these facts constitute a violation of 3.6.1 is supported by the officer’s commander, who disagreed with the findings of OMI, and caused the officer to be counseled, despite the OMI finding.
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Page -53
3. AQR18-U, in which the complainant alleges excessive force and which contains a collateral misconduct issue of failure to complete a Subject Resistance Report. The OMI investigation does not provide a synopsis of the complaint under “Summary of Complainant Allegations” as required by OMI policy and practice. The case, which alleges excessive force is “exonerated” despite neutral, third party testimony which corroborates the complainant’s allegations, despite a spontaneous complaint being lodged by the complainant with another officer on the scene, despite a call for medical assistance contemporaneous to the event by the complainant, and despite a failure of the officer to complete a Subject Resistance Report. The “facts” used to exonerate the officer’s action are the testimony of three officers who “didn’t notice,” “didn’t recall” and “didn’t remember” the officer using his baton to control the crowd. This investigation fails to find fault with the officer’s failure to complete a Subject Resistance Report because he did not know the complainant had been injured. Injury is not a pre-requisite to completion of an SRR; use of force is. Completion of SRRs upon use of force by an officer is a consent decree mandated action. Exonerating a failure in this regard undermines the consent decree and the Police Bureau’s attempts to enforce the requirements of the decree. More problematic, however, is the assertion that use of a baton to move a bystander, absent any resistance or refusal, is an appropriate use of force. The auditor strongly disagrees with such an assertion. By the officer’s own admission, once he gave a verbal command for the crowd to move back, “the only person still near the victim was her mother.” Absent refusal or resistance, application of mechanical force is inappropriate. Failure to report same is also a violation of Bureau policies.
4. AQR18-AK, which alleges excessive force. The investigation does not document medical records of treatment attained by the complainant after the altercation with police. No treatment of disparities between the officer’s Subject Resistance Reports and officer’s testimony to OMI is found in the investigative file. No witness canvass was conducted, despite the fact that the event occurred at a busy bar.
5. AQR18-AQ, which alleges an illegal search, excessive force, and the search of an infant, his diaper bag and stroller. Witness statements indicate that the complaint’s infant son had his diaper removed as part of the search process, and that officers were laughing because the contents of the bag the complainant was carrying was tobacco. The complainant’s wife also alleges an officer removed the baby’s diaper during the search process that also involved the baby’s stroller. No canvass for witnesses
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appears to have been conducted. The OMI investigator appears to ignore the statements of the complainant and three witnesses that a complete search was made by the officers, involving, based on the allegations, a strip search of a small infant, and states “an officer [can] make a cursory scan of property for weapons or contraband before any property is turned over to a third party.” The interviews of the officers are spotty, and do not clearly inquire into the nature of the searches performed. The primary detective is asked if he searched the baby, but not if he searched the diaper bag and stroller. The second detective is not asked any questions about the searches. The first uniformed officer on the scene is not asked about the search of the baby or the baby’s stroller and diaper bag. The second uniformed officer is not queried about the searches. A third officer offers that when he got to the scene, the “officers were still checking the stroller. Searching—“ at which point the investigator interrupts the officer’s spontaneous statement. Later in the interview, the OMI investigator falsely characterizes the officer’s statements, asking “So they checked the baby’s stroller and bag and then turned the baby over to the mother. Is that right?” If the search of the baby took place as stipulated by the complainant, it is behavior that shocks the conscience, and falls well outside permitted police tactics. For example, if the witnesses are correct, the officers conducted a strip search of the baby without supervisory permission and in a public place. The two detectives, between them, have eight complaints concerning illegal searches and excessive force, a fact noted in the final report, but not considered in the analysis of the allegation. The complainant’s history of untruthfulness, likewise, is not noted in the analysis of the allegation.

A failure rate of five of 35 completed cases constitutes 14.3 percent, far in excess of the allowable five percent. The eighteenth quarter constitutes the fifth quarter in the last six in which the city has exhibited problematic performance in completing effectively citizens’ complaint investigations.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not In Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17 Q18

Primary Secondary Operational

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Paragraph 64 requires the city to provide OMI with "sufficient staff, funds and resources to perform the functions required" by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree, is relatively easy to define: the office is adequately staffed when the number of completed cases equals the number of cases received by the office, over a protracted period of time. During the eighteenth quarter, the office completed 61 complaint investigations, and received 38. Substantive problems were noted with five investigations completed this quarter, leaving a total of 56 cases cleared and 38 received. The total number of cases pending was decreased by 18 this quarter.
Additional personnel have been assigned to OMI this quarter, increasing the number of personnel assigned to investigate active cases from four to ten, effective February 15, 2002.
Further, analysis of the existing backlog, based on records provided by the city, indicates a troubling potential for a second “backlog” problem, as well as the known, existing backlog. The auditor’s analysis of electronic data from the OMI database indicates a total of 48 investigations pending more than 180 days, but less than 361 days. An additional 136 investigations have become seriously backlogged (361-720 days), making the possibility of locating witnesses, complainants and evidence much more difficult. Based on CIS data, the office has a total of 321 cases that are currently more than 720 days old (nearly two years old and older). Figure One, below, depicts the number of outstanding (unresolved) OMI cases in 180-day increments of days pending, effective February 2002. The “average age” of the 238 POMI cases remaining open is 882 days old. The “average age” of the 48 PBI cases remaining open is 872 days old. The “average age” of the 78 PDR cases (cases requiring investigation by police supervisors) is 613 days. Continued problems with backlog investigations, and the extensive problems with investigations completed under the City’s new investigative protocols combine to leave the City not in compliance with this task.
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Page -56

Figure One: Length of Pending OMI Investigations, In Days

80

70

60

50

40

30

20

10

0

61-90 91- 181- 361- 541- 721- 901- 1081- 1261- >1440

180

360 540

720 900 1080 1260 1440

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.
Methodology
The auditor reviewed 35 of the 61 OMI investigations completed this quarter, and found all but five of them to be effectively completed. Of the 35 cases returned by the auditor this quarter, three exhibited problems in the use the preponderance of the evidence standard. This constitutes and error rate of 8.6 percent. Based on the agreement of the parties, two consecutive quarters of non-compliance will result in a withdrawal of compliance. This is the first quarter
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the city has been deemed not in compliance with this task. Continued problems in this area will result in a loss of compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.56 Compliance with Task 66: No Preference for Officers’ Statements

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 66 stipulates that "there shall be no automatic preference of an officer’s statement over a complainant’s statement," and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed 35 of the 61 investigations of citizens’ complaints completed during the eighteenth quarter for conformance to this requirement. Three of the completed investigations appeared to exhibit an automatic preference for police officers’ statements over those of witnesses. The error rate of 3.6 percent falls within the allowable margin. The city remains in compliance with this task, although the three problematic cases were returned to OMI for further work. The problematic investigations were returned to OMI for further investigative work.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.57

Compliance with Task 67: OMI Retains Final Investigative

Authority

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between November 16, 2001 and February 15, 2002, searching for a case that resulted in a finding that was "reversed" by a supervisor or senior supervisor. No such cases were found, although some indications were evident that senior supervisors had contacted OMI investigators, disagreeing with their findings. It appears that these contacts were designed to achieve a better quality investigation; however, the auditor has requested documentation on these two events, and will report on them fully in the 19th quarterly report. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Change "Not Sustained" to "Not Resolved"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 68 requires the city to change the OMI disposition category of "Not Sustained"

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Methodology

The auditor assessed all completed OMI investigations for the period of November 16, 2001 to February 15, 2002 to determine if the disposition of "Not Resolved" was appropriately used. All dispositions so declared were appropriate. The office is judged to remain in compliance with task 68.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69: OMI to Issue Quarterly Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.

Methodology

Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit was issued, dated December, 4 1997, and has been updated annually. The city is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the city is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Auditor to Perform Quarterly Assurance Checks

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

•

OMI final reports;

•

Substance and timeliness of 50 percent of all OMI investigations

completed;

•

Statistical information on the number and types of complaints filed with

OMI;

•

Statistical information on discipline imposed on sustained complaints;

•

Assessments of officer use of force, searches and seizures, and traffic

stops.

Methodology

Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.

Number and Type of Complaints Filed

Complaints filed with OMI over the last 16 quarters fall into three categories:
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Page -61

•

Type 1 (allegations of rules violations);

•

Type 2 (allegations relating to attitude and conduct); and

•

Type 3 (allegations of abuse).

Type 1 allegations include failure to perform, neglect of "ministerial" duties, inaccurate reporting, violation of departmental orders such as those regulating secondary employment, minor events of conduct unbecoming an officer, etc Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self assigned investigations, and failure to perform or neglect of duty "on scene." Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse. Table One, below, depicts the number and type of citizens’ complaints received by OMI during the fourteen quarters covered by the consent decree.

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 17th Quarters (1997-2002)

Quarter

Type 1

Type 2

Type 3

1

18

9

26

2

22

15

39

3

33

32

59

4

42

19

84

5

33

18

58

6

8

12

24

7

25

1

15

8

14

16

13

9

39

0

35

10

39

60

48

11

18

27

41

12

14

0

14

13

5

30

7

14

4

11

15

15

16

8

32

16

12

6

16

17

7

3

24

18

7

5

26

Total

590

394

929

Source: Electronic database provided by City of Pittsburgh, CIS.

Total 53 76 124 145 109 44 41 43 74 147 86 28 42 30 56 34 34 38
1913

Average Complaint Severity

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Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated for the sixteen quarters covered by this report. The average (mean) severity of complaints filed with the office are represented in Figure Two, below. As the figure indicates, the average severity of complaints had dropped consistently during the first 13 quarters of the consent decree, but began a consistent rise thereafter. The orange line in Figure Two (and other figures depicted in this report) is a linear regression analysis, designed to allow the reader to determine the "trend line" for a given set of data.
Figure Two: Average Severity Of Citizens’ Complaints, Quarters 1-18
3
2.5
2
1.5
1
0.5
0 Q1 Q2 Q3 Q4 Q5 Q6 A7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17 Q18
Disposition of Citizens’ Complaints
Complaints investigated by OMI are classified, upon completion, as one of four disposition categories:
Exonerated (evidence indicated that the event occurred, but that the officer was acting in conformance with the law or PBP policy); Not Resolved (not enough information was available to prove or disprove the allegation); Sustained (evidence indicated that the allegations were true); or
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Unfounded (evidence indicated that the allegations did not occur).
Figure Three, below, depicts the rates at which OMI resolved the complaints received during the first seventeen quarters covered by this report The percentage of sustained complaints appears to have risen gradually over the seventeen quarters, while the variance has been high, as depicted by the orange “trend line” depicted in Figure Three.
Figure Three: Resolved Complaints by Disposition, by Quarter (1997-2002)

0.7

0.6

0.5 Sustained

0.4

Exonerated

Unfounded

0.3

Not Resolved

Linear (Sustained) 0.2

0.1

0

Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17 Q18

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rate of Sustained Complaints
The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Four, below The data depicted in Figure Four were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any finding other than “sustained.”
Figure Four reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation. As with other data reported in this section, Figure Four deals only with investigations of complaints filed by citizens. Complaints investigated by OMI as a result of an internal infraction referred to OMI by the Bureau of Police are not included in these analyses.
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Figure Four: Rate of Sustained Citizens’ Complaints By Quarter (1997-2002)
0.3 0.25
0.2 0.15
0.1 0.05
0 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17 Q18
Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Complaints Received and Complaints Cleared The number of citizens’ complaints received by OMI during the last seventeen quarters, compared to the number of complaints resolved by the office is reported in Figure Five, below. As with all other data reported in this section, these data are also calculated using data provided by the city and “cleaned” by the auditor’s staff. Figure Five reports two categories of data for the eighteen quarters covered by this report The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously) The second category reported identifies the number of complaints resolved by OMI investigation.
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Figure Five: Received v. Cleared Complaints By Quarter (1997-2002)

160

140

120

100

Cleared

Received 80
Linear (Received)

60

Linear (Cleared)

40

20

0

Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17 Q18

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of OMI Investigations
Data necessary to calculate the length of OMI investigations for the eighteenth quarter were developed using city electronic databases. Data reflecting the average time required to complete an OMI investigation are reflected in Figure Six, below. Overall, the length of time for completing current investigations is increasing slightly, from just over 150 days in the ninth quarter (the quarter the backlog squad was initiated) to slightly less than two hundred days in the eighteenth quarter (as represented by the linear regression in Figure Six). The actual average number of days required to investigate current and backlogged cases is depicted in Table Two, below.

Table Two: Average Days to Complete OMI Investigations, Quarters Nine-Eighteen1

Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17 Q18

All

342 343 342 293 277 555 395

825 781 714

Backlogged 568 366

498 478 908 780 1059 1382 1405

Current

182 64

141 165 326 170

197 521 465

1 Data for the eleventh quarter were not available. Auditor’s Eighteenth Quarterly Report July, 2002 Public Management Resources San Antonio, Texas

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Figure Six: Average Number of Days Required to Complete OMI Investigations1

1600

1400

1200

1000

800

600

400

200

0

-200 Q1

Q3

Q5

Q7

Q9

Q11

Q13

Q15

Q17

-400

All Backlog Current Linear (Current)

Figure Six updates errors in graphing for the 16th and 17th quarters in the 17th quarterly report.

2.62 Compliance with Task 72: of Incomplete OMI Investigations

Auditor to Recommend Reopening

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

The auditor has reviewed all 61 final reports of OMI investigations of citizens’ complaints completed between November 16, 2001 and February 15, 2002. In addition, the auditor conducted a comprehensive review of supporting documentation for 35 of 61 cases completed during this time frame. Of those cases, five were remanded to the Office of Municipal Investigations for additional work. These cases are described in section 2.53, above.

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2.63 Compliance with Task 73:

City to Prepare Progress Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter The first report was issued July 11, 1997; the second was issued January 16, 1998 The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The city remains in compliance with the requirements of task.

2.64 Compliance with Task 74: City to Maintain Records Necessary Methodology
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

All records requested by the auditor were provided in a timely fashion. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.65 Compliance with Task 75: Unrestricted Access for Auditor
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 75 requires the city to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

The auditor experienced unlimited access during audit processes for the eighteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76:

Unrestricted Access for Justice

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 76 requires the city to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree Further it requires access to staff and facilities upon appropriate notice.

Methodology

No changes in the access for Justice was noted this quarter. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.67 Compliance with Task 77: Officers

Copies of Consent Decree to All

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 77 of the decree requires the city to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations All such individuals are further required to sign a statement indicating that they have received, read and understand the consent decree. The city is required to retain these statements.

Methodology

The auditor has reviewed signature records retained by the city acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the city’s approach to compliance Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.68 Compliance with Task 78:

90 Day Timeline for Conformance

Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17 Q18

Primary Secondary Operational

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Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree

Methodology

Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the PARS. The city is currently in primary compliance with 72 of the 74 provisions to which the city should have complied by now. The city is in secondary compliance with 72 of the 74 provisions due as of November 15, 1998. It is in operational compliance with only 70 of the 74 tasks, due as of November 15, 1998. Issues with investigative processes at OMI have caused the office to fall out of compliance with four tasks this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

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3.0 Summary
The sixteenth and seventeenth quarters, ending February 15, 2002, were troubling quarters, serving as a potential precursor to serious difficulty in maintaining compliance with many aspects of the consent decree. It appears that the problems identified in those two quarterly reports have crystallized during the eighteenth quarter, creating serious problems with the OMI investigative process. First, the auditor has expressed grave concerns about the City’s implementation of its revised investigative protocols. As a result of the review of cases completed using these revised protocols, the auditor has suggested further revisions, designed to ensure full and fair investigations of all cases involving allegations of constitutional or ethical misconduct, regardless of the age of the case. OMI performance this quarter continues a pattern of less than acceptable performance that has been observed sporadically for the past six quarters. Nearly 15 percent of investigations completed using conventional OMI protocols this quarter were returned for further investigation. Moreover, it became apparent that at least four cases involving allegations of serious misconduct (constituting constitutional violations if proven true) have been allowed to “age” for several years (in some cases for four years or more) before being submitted to the auditor for review as part of the revised investigative protocols. The auditor is deeply concerned that several of these “failed” cases involve allegations that appear to be credible, and that represent investigations that were abandoned in the face of apparent indications of officer behavior that was violative of bureau regulations and/or Constitutional protections. These abandoned cases are distributed across the years 1998, 1999 and 2000, years in which the auditor was repeatedly urging the city to establish some method of case triage to ensure that credible cases were not ignored and allowed to age to the point that they were not susceptible to investigation. Further, these are years in which the auditor was routinely advising the City that staffing in OMI was inadequate.
Further, this is the first quarter in which the auditor has received investigations completed using the Office’s newly created “memo form” investigative report and investigative process. A number of very serious allegations were closed this quarter using the “memo form” investigative report. These include excessive force; illegal search and seizure; an in-custody injury resulting in a critical injury to a suspect; sexual assault; and racial, gender, or sexual preference bias. These types of allegations are ill suited for “short form” investigations, regardless of the age of the complaint. Any consent decree-related allegation deserves full and careful investigation, regardless of the time it has been allowed to “age.” Some less pernicious allegations may be well suited for “memo form” investigations, particularly those that are older cases, but allegations of Constitutional deprivations or ethical misconduct should never be subjected to such investigative processes.
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The city is judged to have exhibited problematic performance with eight tasks this quarter, including:
1. Task 46: Training for OMI civilian investigators. It appears that orientation training for OMI investigators has been changes substantially in March of 2002, calling for investigators to share the questions they will be asking of accused officers with the officers prior to transcribing the interview. This is a substantial change in process, and is in contradistinction with the OMI manual and process approved by the auditor and the Department of Justice. No notice was given of this change, either to the auditor or the Department of Justice, and the change in training has not been approved by either entity. Further, it appears that at least two civilian investigators have not been provided with training in all of the topics required by the consent decree as of May 15, 2002. In addition, three cases were closed this quarter with dispositions of “other.” This is not an allowed disposition under the OMI manual, and has not been approved by the auditor or the Department of Justice. These are first-time issues, and have not resulted in withdrawal of compliance; however, they are serious lapses, and should be remediated immediately.
2. Task 59: OMI to canvass for witnesses. The auditor returned three of five completed cases that appeared to suggest the need for a witness canvass. This constituted a failure rate of 40 percent of the five cases which appeared to require such a canvass. While this issue has not resulted in a loss of compliance, renewed focus is required to ensure that all withdrawn or non-cooperative complaints are investigated fully.
3. Task 61: OMI to aggressively investigate cases. The auditor returned five of the 35 cases completed this quarter, for a failure rate of 14.3 percent. The City is deemed not in compliance with this task.
4. Task 62: OMI to act on collateral misconduct. The auditor returned three of six cases which included potential allegations of collateral misconduct. These cases were returned, in part, because OMI did not pursue evident collateral misconduct allegations. While this issue has not resulted in a loss of compliance, renewed focus is required to ensure that all issues of collateral misconduct are investigated fully.
5. Task 63: OMI to issue final reports. The Office completed 61 investigations this quarter. The auditor reviewed 35 of those investigative
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reports for completeness, accuracy and the degree to which they meet the standards articulated in the OMI manual. A total of five of the 35 investigations were returned for failure to meet established standards, inaccuracies or incomplete formats.. The City is deemed not in compliance with this task.
6. Task 64: OMI to be adequately staffed. During the eighteenth quarter, the office completed 61 complaint investigations, and received 38. Substantive problems were noted with five investigations completed this quarter, leaving a total of 56 cases cleared and 38 received. The total number of cases pending was decreased by 18 this quarter. The City continues to have a looming backlog of cases which have not been investigated. The auditor has advised the City on numerous occasions that the backlog is a serious issue which must be resolved expeditiously. The longer the resolution of this issue takes, the more problematic investigations become. The City is deemed not in compliance with this task.
7. Task 65: OMI to use preponderance of the evidence standard. The auditor has returned three completed OMI investigations, in part, because it appears that the preponderance of the evidence standard has not been used in evaluating case dispositions. This constitutes an error rate of 8.6 percent. While this issue has not resulted in a loss of compliance, renewed focus is required to ensure that all cases are resolved using the required standards.
8. Task 78: 90 day timeline for conformance. The decree envisioned complete compliance by the city within 90 days of its implementation, or by July 16, 1997. More than four years later, the city remains out of compliance with four of the 74 tasks to which it committed in April 1997.
Several serious problems appear to be crystallizing.
First, the City’s attempt to address the backlog issue through use of the “memo form” investigative process, envisioned to deal with issues of minor infractions, allegations against officers who were no longer with the department (resigned, terminated, or retired), and similar complaints, has been applied to serious allegations of misconduct. Allegations of violations of Constitutional protections should not be subjected to “memo form” investigations, under any circumstances. The auditor has suggested some revisions to the revised investigative protocols, designed to ensure fair and full investigation of allegations of Constitutional misconduct or ethics violations. All 85 of the “memo form” investigations
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submitted to the auditor this quarter should be re-evaluated using upgraded protocols agreed to by the parties.
Second, it appears that the OMI investigative process has succumbed to entropy, based on this quarter’s performance. Serious problems exist in the process, as noted in the auditor’s reports beginning in the twelfth quarter. Problems with training, staffing, and now oversight have resulted in continued failure rates for OMI investigations exceeding allowable levels this quarter. The Office’s revised investigative protocols fail to ensure fair and equitable investigation of allegations of Constitutional and/or ethical violations. Substantial work remains to be done to revise these protocols so that they ensure a fair, full, and to the extent possible, comprehensive investigation of alleged misconduct.
Third, evidence in the record of completed cases submitted this quarter yield clear evidence that some cases, throughout the years 1998, 1999, and 2000 were apparently abandoned in the face of preliminary indications of officer behavior that was violative of bureau regulations and Constitutional protections. These abandoned cases are distributed across the years in which the auditor was repeatedly urging the city to establish some method of case triage to ensure that credible cases were not ignored and allowed to age to the point that they were not investigable. Further, these are years in which the auditor was routinely advising the City that staffing in OMI was inadequate.
Fourth, and finally, issues have surfaced with training provided to investigators. It appears that OMI has changed the training provided to investigators in substantial ways without obtaining the approval of the auditor or the Department of Justice for the changes. For example, it appears that, in March, training to investigators was changed to cause the investigator to share with the accused officer the questions he would be asked during the taped and transcribed interview. This is poor practice, not in keeping with national standards, and not articulated in the OMI Manual. This change was not approved by the auditor, although it could substantively impact the quality of investigations. Neither was the change approved by the Department of Justice.
Problems within the OMI process are deeply disturbing to the auditor, particularly in light of the fact that the City is 18 quarters into a 20-quarter process. The problems within OMI are even more disturbing because many of them have appeared despite concerns expressed by the auditor in 1998, 1999 and 2000 about OMI processes. Training for OMI staff, staffing levels at OMI, and executive oversight of the OMI functions are all process issues, of concern and illustrative of areas which need improvement. A continued failure rate of more than 10 percent of completed investigations is an outcome issue, directly related to the ability of OMI to effectively, fairly, impartially and expeditiously investigate citizens’ complaints.
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1 Introduction

Auditor’s Nineteenth Quarterly Report Quarter Ending May 16, 2002

This document represents the nineteenth of an anticipated twenty "Auditor’s Quarterly Reports" (AQR) assessing the levels of compliance of the City of Pittsburgh (city) with the requirements of the consent decree (decree) entered into between the city and the United States Department of Justice (justice) on April 16, 1997. This document consists of three sections, identified below:

Introduction; Compliance Assessment; and Summary.

The methodology employed by the auditor, definitions used by the auditor, key dates for the audit process, a description of the compliance audit process, and operational definitions of "compliance" are described in Section One, "Introduction." Section Two, "Compliance Assessment," includes the findings of the audit, and specific examples of compliance and non-compliance observed during the audit process. Section Three, "Summary," provides an overall assessment of the city’s performance for this quarter.

1.1

Overall Status Assessment

1.1.2 Dates of Project Deliverables

Two specific dates accrue to deliverables for the decree: the date of entry of the decree (April 16, 1997), which times deliverables of the city; and the date of appointment of the auditor (September 16, 1997), which times deliverables for the compliance audit.

1.2 Format for Compliance Assessment

The AQR is organized to be congruent with the structure of the consent decree. It reports on the city’s compliance using the individual requirements of the decree. For example, the first section of actual compliance assessment deals with the requirements, in paragraph 12 of the decree, relating to development of an automated "early warning system," now known to the Bureau of Police as the Performance Assessment and Review System (PARS). The following components of the decree are treated similarly. Compliance is classified as
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primary, secondary and "operational," with the definitions specified in Section 1.4, below.

1.3 Compliance Assessment Processes

1.3.1 Structure of the Task Assessment Process

Members of the audit team have collected data on-site and have been provided data, pursuant to specific requests, by the Pittsburgh Bureau of Police (PBP) and the Office of Municipal Investigations (OMI). All data collected were of one of two types. They were either collected by:

•

Selection of a random sample, or

•

Selecting all available records of that type.

Under no circumstances were the data selected by the audit team based on provision of records of preference by personnel from the Police Bureau or OMI. In every instance of selection of random samples, PBP personnel were provided with lists requesting specific data, or the samples were drawn directly by the auditor or the auditor’s staff while on-site.

The performance of the PBP and the City of Pittsburgh (city) on each task outlined in the consent decree was assessed by the auditor during the quarter ending May 15, 2002. The site visit for this quarterly report was conducted during the week of May 5, 2002.

All determinations of status for the city and the PBP are data-based, and were formed by review of the following types of documents:

Official PBP documents prepared in the normal course of business; Official Office of Municipal Investigations (OMI) documents prepared during the normal course of business; and/or Electronic documents prepared by the city or components of city government during the normal course of business.

Where practicable, documentation forming the database for this audit was selected by the auditor and the auditor’s staff directly from PBP, OMI or city files. Where this was not the case, the auditor verified the accuracy of documents provided by checking secondary sources. For example, records of complaints filed against police officers, and the status of those complaints, were assessed by reviewing OMI files, OMI electronic files, and zone performance files.

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1.4

Operational Definition of Compliance

For the purposes of this audit, "compliance" consists of three components: primary compliance, secondary compliance, and operational compliance. Primary compliance is viewed as the administrative piece of compliance. It entails the creation of policy, procedure, rule, regulation, directive or command to "comply" as required by the text of the decree. Secondary compliance deals with training, supervision, audit and inspection, and discipline to ensure that a specific policy is being implemented as designed. To achieve operational compliance, both the primary—policy and directives—and secondary—training, supervision, audit and inspection, and discipline—must be achieved, and the directives must, by matter of evidence, be followed in day-to-day operations of the bureau.

During the nineteenth quarter of the decree, the city, the bureau and OMI have continued to implement the changes required by the decree, with specific exceptions noted in section 2.54, below.

1.5 Depicting Compliance Levels

This report uses both a narrative and graphic schema to depict compliance levels with the requirements of the consent decree. The narrative depiction labels compliance in the three categories as follows:

Status:

Primary: Compliance Level Secondary: Compliance Level Operational: Compliance Level

With appropriate compliance levels reported for each level of assessment.

The graphical depiction shows each level of compliance in relation to the time provided by the decree to reach compliance. The figure below depicts compliance levels on a hypothetical task.

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

The solid blue bar

indicates the time allowed by the decree to reach

compliance, in this case, one quarter. The “primary,” “secondary,” and

“operational” task bars indicate the time the agency took to achieve the various

levels of compliance. A vertically patterned light blue bar

indicates

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compliance achieved within the time allowed. A checkered yellow-bar

depicts compliance which was achieved in a period of time that was longer than

that allowed by the decree, but which does not, in the opinion of the auditor,

seriously affect the city’s successful compliance with the decree. A horizontally

patterned orange bar

indicates that compliance was achieved in a period of

time that was longer than that allowed by the decree, and which may affect

eventual compliance. A solid red bar

depicts that compliance was achieved

in a period of time that was longer than that allowed by the decree, and which, in the opinion of the auditor, does affect eventual compliance.

2

Assessment of Compliance

2.1

Methodology

The auditor assessed the city’s compliance using the Auditor’s Manual, included as Appendix A of the first quarterly report. The Manual identifies each task
required by the consent decree and stipulates the methodology used to assess compliance. Compliance was assessed as primary, secondary and "operational"
(see section 1.4, above).

The following sections of the nineteenth Auditor’s Quarterly Report contain a detailed assessment of the degree to which the city has complied with the 74 tasks to which it agreed on April 16, 1997.

2.2

Assessing Compliance with Task 12: Automate the PBP Early

Warning System (PARS)

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-a of the decree requires the city and the PBP to automate the database tracking system currently in use to assess police officer performance, and to add functionality to the system, transitioning it to an "early warning system" which will assist the bureau in identifying and managing officer performance which may need improvement. The bureau has expanded the EWS concept into a Performance Assessment and Review System (PARS).
Methodology
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During the site visit for the nineteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted by obtaining PARS-specific data for the first quarter of 2002 and reviewing the performance factors for all PBP personnel. As part of this review, data were assessed for all active police officers, assessing particularly the officers whose activity levels were assessed to be one or more standard deviations above the mean for their workgroups in the areas of citizen complaints, search and seizure activity, use of force, discretionary arrests and traffic stop activity. Results of the auditor’s review are noted below.

A review of PARs data by command staff this quarter noted:

28 police officers who were continued on monitoring status based on previous indicators from earlier quarterly audits (the same number as noted during the previous quarter); 136 police officers whose performance in the area of warrantless search and seizure fell one or more standard deviations above their work group means; 141 officers whose performance in the area of the application of force fell one or more standard deviations above their work group means; 25 officers who were selected for review due to combined rankings for sick leave, citizens complaints, missed court, discretionary arrests and other indicators; and One officer who was the subject of gender or racial bias complaints.

In each of these cases, command staff review was appropriate, and related to the tenets of good supervision. A total of 38 supervisory actions (monitoring, discipline, counseling, etc) were taken by command staff based on this quarter’s COMPSTAR review and associated information. A continued supervisory presence was also noted this quarter compared to last, with clear evidence that supervisory personnel are using PARS, in conjunction with the performance evaluation process, to identify and respond to personnel not in compliance with departmental policies and to prevent possible infractions.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.2.1 Assessing Compliance with Task 12-a: Nature of Early Warning System Record Keeping
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-a of the decree requires the city to collect, analyze and report specific items related to officer performance and behavior through an automated early warning system.

Methodology

During the site visit for the nineteenth quarterly audit, the auditor reviewed the city’s Performance Assessment and Review System (PARS). PARS is now completely operational, and was used by the PBP command staff to conduct its last quarterly analysis during the month of May 2002. The auditor’s review for the nineteenth quarter was conducted by reviewing 100 percent of the related data included in the PARS. The bureau and the city continue to inspect and audit the records in the PARS, and quality control is an on-going process. During the week of the auditor’s site visit, the command staff conducted its quarterly analysis of PARS data. During that analysis, the command staff reviewed the performance parameters of 331 officers who, based on their performance records during the quarter, fell one or more standard deviations above the mean for their work groups on the various tasks assessed by PARS, or who had higher numbers of overall performance indicators than their peers. From those 331 officers, command staff selected 38 for some form of continued or increased scrutiny, based on their performance over the last quarter. The PARS reports accurately on each of the parameters required by the consent decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.2.2 Assessing Compliance with Task 12-b: Nature of PARS Retrieval Systems
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 12-b of the decree requires the city to build into the PARS the ability to retrieve information from the PARS by officer, squad, zone, unit, regarding the execution of "discretionary arrests," traffic stops, searches and seizures, and use of force.

Methodology

During the site visit for the nineteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. A review of the capabilities of the PARS indicates that the system is capable of retrieving, analyzing, and reporting data across each of the variables required by the decree. More than 150 random separate tests were performed, using data from PARS and its supporting OMS. The OMS reported accurately in each of the tests, and the PARS accurately reflected the data contained in the OMS.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.3 Assessing Compliance with Task 12-c: Establishing Data Retention Schedules for the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 12-c of the decree requires the city to archive the records in the PARS for three years after the involved officers’ separation from service, and requires that all records be archived indefinitely. In addition, it requires the city to enter all relevant data for three years prior to April 16, 1997.
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Methodology

During the site visit for the nineteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. Data continue to be entered as required by the decree. The auditor found no instances of data being purged from the PARS in conflict with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.2.4 Assessing Compliance with Task 12-d: Developing Written Protocols for Operation of the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 12-d requires the city to develop a protocol for use of the PARS that would:
Establish trigger thresholds for review of officer records by senior supervisors; Establish requirements for frequency of review of officer records by senior supervisors; Establish the types of corrective actions to be taken by senior supervisors; Establish confidentiality and security provisions for the PARS; Establish requirements for quality assurance checks of data input; and Have the protocol submitted for review 30 days before implementation.
Methodology
During the site visit for the nineteenth quarterly audit, the auditor reviewed the operational PARS for conformance to the requirements of the decree. The review was conducted using a live database from the operational PARS.
Now that the PARS is on-line and in daily production, the auditor was able to assess each of the 16 factors required of the PARS by the consent decree. The
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operational system reports and tracks each of the 16 required factors, and does so in a manner that would make it reasonably practicable for a line supervisor or command officer to use the system to monitor officer performance, in compliance with the requirements of the decree. Command staff continue to use PARS and supporting systems to conduct quarterly analysis of personnel performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.3

Assessing Compliance with Task 13: Developing a Use of

Force Policy

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 13 requires the city to develop, within four months of entry of the decree, a use of force policy which conforms to professional standards and applicable state law. The paragraph further requires the city to submit the policy to justice for approval prior to implementation.

Methodology

Further, the auditor conducted a thorough review of a random sample of 8.2 percent of 220 Subject Resistance Reports generated by PBP personnel during the quarter. The review conducted by the auditor indicates an acceptable level of command review. Bureau SRRs were reviewed appropriately in 100 percent of the cases selected for review. This figure exceeds the required 95 percent compliance rate.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.4 Assessing Compliance with Task 14: Development of an Effective Strip Search Policy
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 14 requires the city to develop effective strip search policies, allowing PBP officers to conduct strip searches only when authorized by a supervisor, and then only if specifically trained to do so. The searches must be performed in conformance with hygienic procedures, in a room specially designated for strip searches, under specific controls. The policy further must preclude field strip searches in all but exigent circumstances.

Methodology

The auditor reviewed all completed electronic records dealing with FCSSRs for the quarter, and identified all such records (none) that reported a strip search. All of the records of strip searches were reviewed by the auditor during the eighteenth quarter, as well. Although no strip searches were conducted this quarter, all strip searches conducted for the last several were approved in advance by supervisory personnel, and were conducted in locations expressly approved for such procedures. The City is judged to be in compliance with this task based on prior performance. One potentially problematic search was returned to OMI for additional investigation last quarter. .

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.5

Assessing Compliance with Task 15: Written Reports of

Specific Police Actions

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 15 requires the city to establish reporting requirements each time a police officer uses force, conducts a warrantless search or seizure, or conducts a body cavity search.
Methodology
The auditor reviewed a randomly selected sample of Subject Resistance Reports (SRRs) and Field Contact/Search/Seizure Reports (FCSSRs) to assess the level of accuracy of reporting and supervisory review for these reports. An 8.2 percent sample of 220 SRRs written during the nineteenth quarter was selected for review. In addition an 8.1 percent sample of 620 completed search and seizure reports was selected for review. A 100 percent sample of two strip searches was selected for review last quarter. While these samples are lower than in past audit cycles, this reflects ten straight quarters of 100 percent compliance on these tasks. All of the reports reviewed this quarter were found to be in compliance with the requirements for search and seizure and use of force reporting. The error rate remains within the acceptable margin of error, at zero percent. One potentially problematic search was returned to OMI for additional investigation last quarter.

Status: 2.6

Primary: In Compliance Secondary: In Compliance Operational: In Compliance
Assessing Compliance with Task 16: Reporting Traffic Stops
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 16 requires the city to establish reporting requirements each time a police officer makes a traffic stop. The city has promulgated a protocol requiring officers to report traffic stops, and establishing a review function for these activities. Training for PBP personnel regarding reporting traffic stop information was completed during the third quarter. The bureau continues collecting traffic stop data, using the form designed by the city. These data are available at the Zones, and have been entered into the PARS. The eighth quarter was the first quarter in which detailed assessment of traffic stop information was possible, as the tabular data from the PARS regarding traffic stops was available through the PARS as of this audit cycle.
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Methodology

Traffic stop data for all stops completed by the Bureau were assessed by the monitoring team during the nineteenth quarter. The auditor found the traffic stop data to accurately reflect information included in the COMPSTAR review conducted by command staff. In addition, the audit team noted that the bureau had initiated disciplinary proceedings against two officers in the fourteenth and fifteenth quarters for failure to report traffic stops in accordance with bureau policy. Discipline assigned by the bureau for these infractions, in both cases, was a suspension of five days, pending termination. The bureau is judged to be in compliance with this task based on current and past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.7 Assessing Compliance with Task 17: Entry of Data into the PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 17 requires the city to enter data regarding use of force, traffic stops, warrantless searches and seizures, and other indicators of police activity levels into the planned automated Early Warning System. The city has developed protocols requiring entry of data as required by the consent decree.

Methodology

The auditor has reviewed these protocols and found them to be acceptable. During his nineteenth quarterly site visit, the auditor tested data entry protocols by performing more than 150 individual tests of the system. The PARs and OMS reported accurately in each of these tests.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.8

Assessing Compliance with Task 18: Audits of Use of Force

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 18 requires the city to cause supervisors and senior supervisors to conduct "regular audits" of PBP officers’ use of force, and to act on information concerning the use of force with the goal of reducing or preventing use of excessive force.

Methodology

The auditor reviewed an 8.2 percent sample of the 220 completed SRRs for the quarter. Each report was appropriately reviewed by command staff, and reports incorrectly completed were noted and re-routed for remediation. No errors were noted in the SRRs reviewed by the auditor.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.8.1 Compliance with Task 18-b: Analyze Use of Force Quarterly

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 18-b requires senior supervisors to analyze use of force data quarterly. The bureau continues to complete quarterly analyses of use of force data, using the Officer Management System and PARS. The analysis identified use of force trends, as well as focusing on officers who recorded higher than average use-of-force rates. The command staff used the OMS and PARS to identify officers receiving complaints of excessive force, officers who had higherthan average levels of use-of-force rates in any one of the past four quarters, and to assess overall trends in use of force. These assessments became part of the quarterly "Computer Statistical Trend Analysis and Review" (COMPSTAR) meeting minutes, along with recommendations for counseling, retraining or other
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solutions to issues raised with specific officers’ use of force practices. Protocols require follow-up at the next quarterly PCS meeting to evaluate the effectiveness of these solutions.

Methodology

Using the PARS/OMS system, the auditor identified, during the nineteenth quarterly audit, 141 officers whose use of force statistics (or associated activity levels) were one or more standard deviations higher than their group norms, and who, in the auditor’s opinion, required further scrutiny. All zone commanders checked subject resistance report data as part of their routine quarterly analysis, and all 141 of the officers identified by the auditor were also noted by zone commanders. The increase in the rate of officers noted by the auditor this quarter, over previous quarters is due to the fact that, during the last six quarters, the auditor reviewed a 100 percent sample of SRR reports (electronically, using PARS data), rather than selecting a sample for review.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9

Compliance with Task 19-a: Review Search and Seizure

Reports through Chain of Command

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 19-a requires the city to review search and seizure reports, through the officers’ chains of command, within one week of the search or seizure. The protocol for searches and seizures has been approved, and training and implementation have been completed.
Methodology
During the site visit for the nineteenth quarter, the auditor selected a random sample of 8.1percent of 620 FCSSRs completed during the quarter. Each of these reports was analyzed to ensure the report met the requirements of task 19a. Further, each of the selected reports was reviewed for probable cause (in the event of a search) or reason to suspect (in the event of a field stop and
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investigation). The narrative of each of the reports was assessed, and supporting documentation, where available, was reviewed. The bureau continues to note incidents of poor reporting, when they occur, and continues to retrain officers who exhibit problematic reporting on search and seizure events.

None of the reports reviewed by the auditor this quarter were judged to be problematic. One possibly problematic search was returned to OMI, by the auditor, for additional investigation. The error rate for FCSSRs for the nineteenth quarter is zero. This is attributable, in part, to the internal review process established by the bureau, as well as increased scrutiny of FCSSRs by zone supervisors.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.9.1 Compliance with Task 19-b: Quarterly Analysis of Search and Seizure Data

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 19-b requires the city to analyze the search and seizure activity of its officers on a quarterly basis.
Methodology
Command staff used search and seizure data, generated by PARS, to assess officers’ performance, identifying officers who were above average in this category. These officers were noted to be of two types: those who were active in search and seizure processes, but whose reports indicated no problematic behavior, and those whose activities indicated additional training, counseling, or supervision. The command staff selected the first group of officers for potential commendation, and the second group for potential remediation.
Using the PARS/OMS, the auditor identified 136 officers whose FCSSR data fell one or more standard deviations above the mean for their work groups. All of the zone commanders reviewed each officer under their command whose FCSSR data exceeded work group norms by one or more standard deviation. This review included a thorough review of both electronic data, and a review of actual
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FCSSRs completed by these officers. The command staff review noted each of the 136 officers identified, independently, by the auditor as indicating a need for further scrutiny. The increase in numbers of officers identified by the auditor is due to the fact that, during the last four quarters, the auditor drew a 100 percent sample of PARS FCSSR data for analysis.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.10 Compliance with Task 20-a: Review of Allegations of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-a requires the city to review all allegations of racial bias through the officers’ chains of command within one week of completion of the investigation. The bureau currently relies on OMI for notice of allegations of racial bias and requires review after notification.

Methodology

During the course of reviewing complaints received by the Office of Municipal Investigations, the auditor screened these complaints for allegations of racial or gender bias. During the nineteenth quarter, one allegation of racial or gender bias on the part of bureau officers was received by OMI. Racial bias complaints are monitored closely by command staff, and each quarterly COMPSTAR review includes a discussion of the status of these complaints, as well as the nature of the review conducted pursuant to the policy outlining PARS protocols for racial bias complaints. Command staff implemented monitoring protocols as required by the decree in response to this complaint of racial bias.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.10.1

Compliance with Task 20-b: Quarterly Analysis of Racial Bias
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 20-b requires supervisors to use the PARS on a quarterly basis to assess allegations of racial bias for patterns or irregularities. The bureau, during the week of November 2, 1999, developed a specific protocol for quarterly analysis of potential indicators of racial bias. The protocol requires the command staff to review an officer’s complete PARS file if any of eight events involving the officer occur during any given quarter.

These events include:

•

Notation on the Supervisor’s Daily Activity Report (SDAR) of any

indication of racial or gender bias on the part of a given officer;

•

A complaint by a supervisor of racial or gender bias against an officer;

•

A peer compliant of racial or gender bias;

•

An OMI complaint of racial or gender bias;

•

Filing of a lawsuit, in which the officer is named, contending racial or

gender bias;

•

Any indication, during a normal review of routine police reports (offense

reports, arrest reports, search and seizure reports, subject resistance

reports, etc.) that an officer indicates potential racial or gender bias;

•

Comments made by an officer indicating racial or gender bias; or

•

A non-OMI complaint of gender or racial bias.

The quarterly analysis conducted by command staff during the week of May 5, 2002 identified one officer with at least one of these "trigger" events. This event was analyzed by command staff in accordance with the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.11 Compliance with Task 21-a: Imposing Appropriate Remedial Action
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary
Operational
Paragraph 21-a requires the city to impose appropriate remedial action after evaluating officer behavior, and to take appropriate action for officers who have received three or more similar citizens’ complaints in a two-year period, or five or more complaints in a two-year period.
Methodology
The auditor revised the monitoring protocol for this task during the nineteenth quarter. Rather than review simply discipline for the quarter, the monitor reviewed 66 disciplinary events imposed by the bureau over the last four years. A total of 66 sustained OMI investigations was correlated with the bureau’s disciplinary action for each case. The 66 sustained OMI investigations over the period resulted in 62 disciplinary actions. Four sustained cases had “pending” disciplinary action: one of these incidents involved an officer on extended compensation; one involve an officer who was terminated, but reinstated by arbitration, and two were simply listed as “pending,” even though the cases were sustained three and four years ago. The monitor will follow-up on these two cases during the twentieth site visit; however, even assuming errors in these cases, a failure rate of two of 66 events constitutes 3.0 percent, within the allowable margin of error for this task. Discipline applied ranged from counseling, through retraining, suspension and termination.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.11.1 Compliance with Task 21-b: Imposing Retraining and Counseling
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 21-b requires the city to also impose retraining or counseling in all cases in which a citizen’s complaint has been sustained, except those resulting in termination, based on review of officer behavior.

Methodology

The auditor reviewed the bureau’s disciplinary processes for February 16, 2002 to May 15, 2002. The bureau’s disciplinary process was reviewed in detail in Section 2.11, above. In addition to a review of the data included in that section, the audit team reviewed disciplinary action reports for all officers disciplined during the quarter. Disciplinary action taken by the bureau included retraining, counseling, and other appropriate forms of "retraining" and "counseling," including assignment to conflict resolution retraining.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.11.2

Compliance with Task 21-c: Consider Prior Record in

Determining Discipline

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 21-c requires the city to consider an officer’s prior record in determining discipline.
Methodology
Based on the auditor’s review of disciplinary processes over the last four years, the bureau continues to consider prior record in determining discipline.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.12 Compliance with Task 22: Disciplinary Files at the Zone Level
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 22 requires the PBP to establish disciplinary action files, or "performance files" at the zone level.

Methodology

During the site visit for the fifteenth quarterly report, members of the monitoring team reviewed performance files and supervisory daily activity reporting at all zones (One through Six and SDD). Supervisory activity remains at acceptable levels, with officers (and some supervisory personnel) selected for “monitoring” showing an active supervisory review of their activities. Based on some minor problems noted during the sixteenth quarterly site visit, the monitor conducted a thorough review of supervisor activity reports for “canned language.” No problems of this nature were noted in supervisory reports this quarter. No zone site visit inspections were made for the nineteenth quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.13 Compliance with Task 23: Annual Performance Evaluation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 23 requires the city to implement an annual performance evaluation process for all officers, supervisors and senior supervisors. Further, it requires supervisors and senior supervisors to be evaluated based on their ability to prevent and address misconduct by officers. In addition, paragraph 23 requires officers to be evaluated, in part, on their complaint history.

Methodology

During the site visit for the sixteenth quarterly report the audit staff reviewed nearly three dozen police performance evaluation files. Each of the personnel files reviewed this quarter contained performance evaluations completed in accordance with established policy. While a small number of files were missing at least one performance evaluation report, all of these were from the most recent evaluation period. Upon notice to the bureau by the auditor, all records were located and placed in the appropriate files. No assessment of this task was conducted for the nineteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.14 Compliance with Task 24: Performance Based Promotion

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 24 requires the city to use performance evaluations as a factor in promotional decisions.
Methodology
During the sixteenth quarter, members of the audit staff reviewed a 100 percent sample of the personnel files for two police members promoted during the third quarter of 2002. All of those promoted appeared to have been carefully evaluated, and promotions were made only of members who “met or exceeded” performance evaluation criteria. No promotions were made during the nineteenth quarter.
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Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.15 Compliance with Task 25: Provision of an Employee Assistance Program

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 25 requires the city to continue to provide PBP employees with an Employee Assistance Program, including counseling and stress management services for officers, offered by certified, trained and experienced counselors, and supported by department-wide publicity of EAP availability, non-retributive attendance for employees, and non-binding referrals to the EAP.

Methodology

Evidence continues to exist to support the bureau’s operational compliance with paragraph 25. Reviews of zone "performance files" indicate that the EAP has been used by departmental personnel and departmental managers. Bureau discipline continues to use the EAP as part of its progressive discipline campaign. The city continues to sponsor EAP-related forums and to advertise the availability of EAP offerings. One employee was placed on extensive “Track III” employee assistance during the fifteenth quarter, in lieu of termination, and two employees were suspended for five days (pending termination) for violation of their Track III agreements. No new Track III activity was noted during the nineteenth quarter. The city remains in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.16 Compliance with Task 26: Notification of Adverse Involvement
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 26 requires the city to obtain notice of adverse involvement from its officers any time they are arrested, criminally charged, or named as a party to a civil suit. In addition, the paragraph requires the city to discipline or retrain officers found guilty or liable by a court. Further, the paragraph requires OMI to conduct investigations of such events.

Methodology

A review of Bureau records indicates that the bureau continues to monitor its officers’ activities for adverse involvement. The bureau’s records included notice regarding pending civil litigation (not related to duty incidents), and filed civil court orders. Discipline during the thirteenth quarter involved one incident of disciplinary action for failure to provide notice of adverse involvement. No finding of liability was noted this quarter. Five incidents of adverse involvement, all appropriately reported, were noted this quarter.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

2.17 Compliance with Task 27: OMI to Monitor Criminal Proceedings

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 27 requires the Office of Municipal Investigations to monitor all criminal proceedings containing allegations of false arrest or improper search and seizure by PBP officers. This paragraph also requires the bureau to implement appropriate discipline for officers who are found to have committed misconduct as a result of these reviews.
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Methodology

The bureau has established an agreement with the district attorney in which the DA will notify the PBP in the event that criminal charges are filed, at the county level, against any PBP personnel. This agreement includes notice of suppression hearings lost as a result of illegal activity. Further refinement of this process was achieved during the sixth quarter, with publication of deputy chief’s memo DCOP 98-309, requiring officers who have arrested PBP officers for any criminal charge to file a memorandum "detailing the results of the hearing."

PBP policy calls for these memoranda to be forwarded to OMI for their review. Based on concerns expressed by the auditor that the DA’s office has forwarded no notifications of lost suppression hearings, etc., the chief of police has modified the reporting practice between the district attorney and the bureau. Court liaison personnel have begun to specifically inquire monthly, about allegations of false arrest or improper searches on the part of PBP officers. During the nineteenth quarter, three such inquiries were made of the DA’s staff. The auditor reviewed reports of these inquiries, which noted no lost suppression hearings due to poor probable cause, etc.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.18 Compliance with Task 28: Sanctions for Officers Involved in Settled Litigation

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 28 requires the city to implement appropriate discipline "as the circumstances and OMI investigation warrant," in all instances in which PBP officers are the subject of civil litigation.
Methodology
Personnel files were reviewed for evidence of PBP officers involved in settled civil litigation noted during the nineteenth quarter, and none were found. During the sixth quarterly audit, however, the department received notification of settled
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litigation involving two Bureau officers. During the seventh quarter, this case was reviewed by command staff, and disciplinary action was taken in April, 1999. It is clear from the review that the bureau continues to be in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.19 Compliance with Task 29: Provision of Legal Advisor Services

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 29 requires the city to provide PBP officers with legal advice on a 24/7 basis. Further the paragraph requires the legal advisor to provide training regarding legal aspects of search and seizure, use of force, and racial bias.

Methodology

The auditor has interviewed the police legal advisor, assessed the degree to which his legal bulletins are available to police personnel, and assessed the viability of the policy which announces and controls his availability. Chief’s Memo 97-245 announces the availability of a police legal advisor on a 24-hour basis, seven days per week, providing a pager number, and a home telephone number. Further, the policy provides a back-up process for those occasions when the legal advisor is not available. The legal advisor continues to provide support for the bureau, publishing legal bulletins, and providing in-service training and remedial training for Bureau officers. The legal advisor is also active in reviewing Field Contact/Search and Seizure reports filed by Bureau officers. The bureau continues its compliance with this task.

Status:

Primary: In compliance Secondary: In Compliance Operational: In Compliance

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2.20 Compliance with Task 30: Develop a Rotation Schedule
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 30 requires the PBP to develop a department-wide rotation schedule to ensure that officers are regularly supervised by different sergeants and lieutenants and that they regularly work with different officers.
Methodology

The PBP continues to implement its rotation plan. The plan, supported by Chief’s Memo 97-550, requires routine consent-decree transfers in January of each year. Each January since implementation of this policy, the bureau has transferred sufficient numbers of personnel to remain in compliance with this task. In January 2002, the bureau transferred a total of 81 officers and supervisors. In addition, during the thirteenth quarter, the bureau transferred all but two of its commanders, assigning each to new duties.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.21 Compliance with Task 31: PBP Attendance at Community Meetings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational
Paragraph 31 requires the PBP to "make every effort" to participate in community meetings, including those oriented toward minority groups.
Methodology
The auditor reviewed monthly attendance logs for police zones for the months of February 16, 2002 to May 15, 2002. The logs show multiple community
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meetings attended by PBP personnel. The meetings were attended by command level personnel, line personnel, OMI personnel and supervisory personnel. No agendas for these meetings are available.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.22 Compliance with Task 32:

Televise OMI’s Function

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 32 requires the city to televise to the public information concerning OMI’s function, location, etc. The paragraph also requires the city to have PBP personnel present at community meetings, and to publish and distribute pamphlets describing the OMI complaint process.

Methodology

The auditor reviewed community meeting logs maintained by OMI staff, and determined that personnel from the unit are in attendance at community meetings. The city continues to air television "spots" highlighting the function and process of the Office of Municipal Integrity. The city has also printed a brochure explaining the OMI function and has distributed the brochure to all of the city’s community organizations and placed these brochures in all city buildings. Television PSAs have been revised, although additional work is pending, and thus have not been reviewed by the auditor, as of this writing.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.23 Compliance with Task 33: Provision of Training in Cultural Diversity
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 33 requires the city to provide cultural diversity training to all PBP officers, with the training covering: relating to persons of different groups, relating to persons of the opposite gender, and communications skills.

Methodology

The auditor and the auditor’s staff have reviewed the PBP’s training curricula for in-service training, have conducted three site-visits of the training academy, and have interviewed many of the personnel assigned to the training academy. The bureau has developed (through contract) curricula for the cultural diversity training, and has begun implementation. Throughout 2002, the bureau has continued to train its officers in the topics of cultural diversity, "effective communication" and ethics. The Bureau is on pace to train all of its officers in the required topics during the annual training cycle.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.24 Compliance with Task 34: Monitoring Citizen Complaints for Training Indicators
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 34 requires the city to establish monitoring systems which will assess citizen’s complaints for indicators of needs in training or re-training. The bureau has established a system in which OMI forwards a copy of a summary of all citizen complaints to the Chief of Police, who also provides a copy to the Deputy Chief for Operations. Additional copies are also sent to the training academy for review.
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Methodology

In order to assess this requirement, the auditor reviewed Training Academy records, reviewed the notes of PBP command staff meetings, and reviewed OMI monthly and quarterly reports. In addition, the auditor reviewed the academy’s quarterly training assessment report.

It continues to be clear that the command staff is reviewing citizen complaints and reports of infractions and communicating that review to subordinates. Discipline, based on internal infractions, often involves retraining. During the past nine quarters, training academy staff completed a review of citizen’s complaints and use of force reports with the aim of improving, where applicable, training curricula. Reports from the academy continue to be reviewed, assessed and critiqued by command staff

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.25 Compliance with Task 35: Training in Verbal De-Escalation
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 35 requires the city to train all officers in the use of verbal deescalation techniques as an alternative to the use of force and to incorporate verbal de escalation training "into all other training that implicates the use of force."
Methodology
To date, for the training year 2002, the bureau continues to train its eligible officers (excluding officers on extended medical or similar leave, and thus not performing police duties) in "verbal judo" and/or tactical communications. The bureau-wide process of reviewing all use-of-force curricula has been completed, and a new "use of force" training curriculum has been implemented by the bureau. A total of 98 percent of the officers subject to this training received it during the last training cycle, and retraining is in progress for the 2002 training

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cycle. Training for this element will receive an in-depth evaluation during the twentieth quarter site visit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.26 Compliance with Task 36: Training in Ethics and Integrity for Recruits
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 36 requires the city to provide training for recruits in integrity, ethics, cultural diversity and verbal de-escalation "at the beginning of the training curriculum to serve as a foundation for all other classes. The recruit curriculum offered "ethics" training and "verbal judo" in week one, and cultural diversity in week two. Additional training in weeks 21 and 23 cover additional topics in cultural diversity and verbal judo. The auditor has reviewed the curriculum outlines for cultural diversity and ethics, and finds the curricula to be appropriate and responsive to the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.27 Compliance with Task 37: In-Service Training in Ethics and Integrity

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 37 requires the city to train all officers in integrity, ethics, the PBP’s mission and values, and cultural diversity. The training requires inclusion of the topics of truthfulness, reporting misconduct by fellow officers, the importance of avoiding misconduct, and professionalism.

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Methodology

The auditor has reviewed the bureau’s curriculum outlines for cultural diversity and ethics. According to academy records, all of the department’s sworn personnel have received training in ethics through the bureau’s new "career and personal survival" training component. The bureau has contracted with a nationally recognized provider of training in police ethics, and substantially revised the curriculum for the 2000 calendar year. The latest ethics training was conducted as part of the State of Pennsylvania’s mandatory training cycle. During the tenth quarter, the bureau received accreditation from the National Institute of Ethics. The agency’s eligible officers (excluding those officers on extended leave) continue to receive the state’s mandated “Leadership and Integrity” class during the 2002 training cycle. Training for this element will receive an in-depth evaluation during the twentieth quarter site visit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.28 Compliance with Task 38: Train all Officers re OMI Complaint Process

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 38 requires the city to train all police officers regarding the OMI complaint process, and their obligation to cooperate with OMI investigations.

Methodology

Based on a review of the training records, the department has trained all of its officers in the OMI process, with the exception of officers who are on extended leave. All new recruits receive the training regarding the OMI complaint process as part of the academy training program.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.29 Compliance with Task 39: Encourage Qualified FTO
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 39 requires the city to recruit "highly qualified" Field Training Officers and instructors by establishing formal eligibility requirements, basing selection on performance evaluations and superior performance as police officers. The paragraph further requires the city to disqualify any FTO or instructor (or candidates for the positions) with a poor disciplinary record or complaint history.

Methodology

During the sixteenth quarter, the bureau added 13 new FTOs to its complement of training officers in order to provide field training for two sections of recruits currently working through the training process. Discussion at the fourteenth quarterly COMPSTAR meeting addressed methods for ensuring that quality FTOs are recruited, trained and deployed. The auditor conducted a complete assessment of the personnel files of these 13 officers during the sixteenth quarter, and found them to be highly qualified. No new FTOs were selected during the nineteenth quarter. The agency remains in compliance with this task, based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.30 Compliance with Task 40: Train all FTOs and Instructors

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 40 requires the city to ensure that all FTOs and instructors receive adequate training to ensure that they are capable of meeting their job expectations. Further, the paragraph requires that the city require FTOs and

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instructors to "demonstrate on a regular basis, their proficiency in their areas of instruction."

Methodology

During the sixteenth quarter, the bureau trained an additional 13 officers as instructors/FTOs, using its five-day “Instructor Development” training syllabus previously approved by the audit team. The academy has made no changes in its evaluation processes used to assess the effectiveness of the FTO program, which has been previously approved by the audit team. The City remains in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.31 Compliance with Task 41: Maintenance of Training Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 41 requires the city to maintain written records documenting all training of officers, including the officers’ names, dates of training, reasons for mandatory training, subject matter, and “whether the training was completed satisfactorily.”

Methodology

A review of training records for the nineteenth quarter indicates the academy has continued its established processes for maintenance of training records. A full on-site review of training records was conducted by the audit team during the thirteenth quarter. No discrepancies were noted in training records. All instructors’ files reviewed contained certifications to teach the topics that they were teaching, and no missing data or other irregularities were noted. The training academy will receive an in-depth evaluation for this element during the twentieth quarter site visit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.32 Compliance with Task 42: Document Mandatory Counselings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 42 requires the city to document in writing all mandatory counselings by name of officer, reasons for the referral, OMI file number, related cross index number, the subject matter of the counseling, and the status of the officer’s attendance.

Methodology

During the auditor’s review of data for the nineteenth quarterly report, the audit team reviewed the department’s centralized file that is used to document mandatory counseling sessions ordered this quarter for PBP personnel. The Bureau continues to use, and document, mandatory counseling as part of its disciplinary processes, and documents these counselings in files maintained in the office of the chief of police.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.33 Compliance with Task 43: Annual Supervisory and Leadership Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational
Paragraph 43 requires the city to provide mandatory annual in-service training for senior supervisors in the topics of command accountability, integrity, and cultural diversity.
Methodology

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The auditor assessed the training records for PBP senior supervisors (commanders and above). Command staff continue to receive training in integrity, command accountability, and cultural diversity through a series of courses offered by the training academy and the "POLEX" program. In addition, all command staff have received specialized training in managing organizational conflict. The mixture of training provided for command staff meets, in the opinion of the auditor, the requirements of this task. Training for this element will receive an in-depth evaluation during the twentieth quarter site visit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.34 Compliance with Task 44: OMI Quality Assurance
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 44 requires the city to update the existing OMI database to serve as an interim management tool. The paragraph also stipulates records retention schedules and develops specification for preparing complaint histories.

Methodology

The auditor and the auditor’s team assessed the records management systems and electronic databases currently in place within the OMI office. They observed OMI personnel as they worked with the databases, and reviewed output from the databases.

The current OMI database is an effective management tool. Upgrades are currently underway for the system, which should make it even more effective in managing OMI caseload. The monitor has requested additional documentation and data from the OMI database, and will conduct a comprehensive review of the system for the twentieth quarterly visit.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.35 Compliance with Task 45: Chain of Command Access to Disciplinary Records
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary
Operational
Paragraph 45 requires the city to make OMI files and records relating to a particular officer available to personnel within that officer’s chain of command who are responsible for officers’ training, counseling and discipline.
Methodology

Members of the audit team reviewed disciplinary actions of the PBP command staff, and observed discussions among command personnel regarding disciplinary actions at the quarterly COMPSTAR personnel assessment. In addition, members of the audit team assessed DARs for evidence that past record and past performance is considered in assigning discipline. During the twelfth and thirteenth quarters, members of the command staff, using PARS and OMS, identified several members of the bureau for commendations based on their review, in part, of officers’ disciplinary records available in PARS. This aspect of the review process continues. All records and actions observed by the members of the audit team indicate that the supervisory and command staff routinely access PARS in making disciplinary and performance decisions. PARS and OMS were consulted heavily as part of the promotional processes completed in the first two quarters of 2002. The bureau is judged to continue to be in compliance with this task. The PARS system was also used in assessing candidates for promotion during the first two quarters of 2001.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.36 Compliance with Task 46: Maintenance of OMI Manuals and Training

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

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Paragraph 46 requires the city maintain an OMI manual, detailing OMI investigative policies and procedures, and to ensure that all OMI investigators receive adequate training. This paragraph also requires the city to provide OMI civilian investigators with police academy training on 15 specific topics related to police operations, conduct and processes. The paragraph stipulates that the training provided to OMI civilian investigators will be "identical" to that received by OMI police investigators. The paragraph further requires that the city make the OMI manual available for inspection at PBP facilities and at the OMI office.

Methodology

While all formal revisions to the manual conform to reasonably accepted practice in the conduct of internal investigations, during the eighteenth quarter, the auditor noted a revision in implementation of the manual appeared to have taken place, without notice to the auditor. Based on interviews conducted with OMI investigators, it appears that implementation of section 6-3 (C-12) has been modified from a process that discusses areas of the investigation with accused employees to one that shares with accused employees the questions which will be asked during the taped interview. This change, it appears, was effected by a change in the orientation training, made sometime in March 2002. This change marks a substantial change in operating procedures for the unit, yet was not accompanied by notice to the auditor. A process of sharing exact (or paraphrased) questions with accused officers, prior to a taped interview, does not conform to reasonably accepted practice in the conduct of internal investigations. Such a procedural change would not have been approved by the auditor as a formal change to the OMI Manual, nor is the operational process acceptable. After being notified about this change during the exit interview for the eighteenth quarter, the OMI manager met with all active investigators, and re-emphasized the need to revise any pre-interview processes that were not in conformance with the OMI manual. In addition, the auditor was unable to retrieve documented training records for all OMI civilian staff, as required by this task and task 74. The auditor will continue to pursue this topic for the 20th quarterly report. Continued problems with this task will result in a loss of compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.37 Compliance with Task 47: Receipt of Complaints
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13
Primary Secondary Operational

Paragraph 47 requires the city to accept citizen complaints at OMI via telephone, mail, facsimile, or in person, and that no complainant be required to complete a complaint form to initiate an investigation.

Methodology

The auditor reviewed all of the all 104 final reports of completed OMI investigations of citizens’ complaints to assess the method of receipt and to determine if any complainants were "required" to complete any OMI form prior to receipt of the complaint and initiation of the investigation. None of the 104 files reviewed included any form completed by a complainant. Further, ample evidence exists to support the fact that complaints are received by telephone, letter and facsimile, and that the Office accepts anonymous complaints. The Office also proactively coordinates with the Pittsburgh Civilian Review Board, attending all open meetings, and generates investigations based on complaints filed with the board.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.38 Compliance with Task 48: Receipt of Anonymous Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 48 requires that the city accept anonymous and third party complaints through the OMI process, and to investigate these complaints thoroughly. This paragraph also allows the OMI unit to require corroborating information or evidence from complainants.

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Methodology

Completed OMI complaints were assessed for the source of the complaint. One anonymous complaint was resolved this quarter. One anonymous complaint was resolved during the fifteenth quarter, however, and it was as completely investigated as possible. The city is judged to remain in operational compliance with task 48.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.39 Compliance with Task 49: Closure of OMI Investigations

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 … Q18 Q19 Q20

Primary Secondary Operational

Paragraph 49 of the consent decree requires OMI to refrain from closing an investigation without rendering a disposition solely because a complainant withdraws the complaint or is unavailable to make a statement.

Methodology

The auditor reviewed the OMI Policy and Procedures Manual, which states in section 6-11 that withdrawal of complaints will not cause OMI to cease its investigation. Interviews with OMI staff indicate that it is customary not to terminate investigations upon the complainant’s withdrawal of same. During the nineteenth quarterly review, the auditor found five complaints filed with the Office of Municipal Investigations, which were either "officially" withdrawn by the complainant filing the complaint, or in which the complainant refused further cooperation with the Office. All of these complaints were investigated to completion by the Office, although some problems were noted with the quality of three of these investigations. This is the second quarter in the last three in which the Office has experienced problems with this task. Continued problems with this task will result in loss of compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.40 Compliance with Task 50: Relocate OMI
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 50 requires the city to relocate the Office of Municipal Investigations to an office that is separate from any building occupied by PBP personnel. It further requires that the new facility be convenient to public transportation, and that the city publicize the new OMI location.

Methodology

No change in compliance status was noted for this task during the nineteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.41 Compliance with Task 51: Reporting and Receipt of Citizens’ Complaints
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 51 precludes the city from requiring any complainant to come to PBP facilities to file a complaint or provide a statement. In addition, the paragraph requires the city to hold quarterly open meetings in rotating zones to educate the public about proper police functions, misconduct and other topics. The city is further required to accept complaints at the quarterly meetings, and to publicize the location and time of the quarterly meetings "in all city buildings."
Methodology
The auditor reviewed supporting documentation for 55 of the 104 citizens’ complaint investigations completed during this quarter to determine if OMI
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personnel or police personnel required any complainant to come to a city facility to file a complaint or provide a statement. Ample evidence existed, in the Case Investigation Checklist, to indicate that OMI personnel conduct interviews at complainants’ and witnesses’ homes, over the telephone, and by meeting individuals at locations convenient to them. Of the 104 cases reviewed this quarter, evidence continues to exist suggesting that the office routinely makes itself available to citizens "in the field," either at alternative sites, the complainant’s home, or over the telephone. The auditor reviewed attendance logs for OMI’s quarterly meetings (February 16, 2002 through May 15, 2002), and reviewed the OMI manual to determine policy or procedural guidance relative to attendance at quarterly community meetings. Records maintained by OMI reflect that the office continues to attend public meetings.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.42 Compliance with Task 52: Notification to Senior Supervisors of Citizens’ Complaints

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 52 requires the city to provide notification to senior supervisors of an accused officer who has been the subject of a complaint to OMI regarding use of force, improper search or seizure, or racial bias.

Methodology

Notification of supervisory personnel of citizens’ complaints for officers under their command is accomplished through the PARS/OMS systems, and supervisors are held accountable for appropriate action in the quarterly COMPSTAR meetings. The city continues in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.43 Compliance with Task 53: Investigation
Q1 Q2 Q3 Q4 Q5

Responsibility for Complaint
Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 53 requires the city to ensure that responsibility for investigation of citizen complaints rests solely with OMI, to require OMI to monitor the progress of investigations, to require OMI to accept all complaints, to disallow the process of officers attempting to "settle" OMI complaints, and to require OMI to document all officer-initiated settlements of citizens’ complaints.

Methodology

The auditor reviewed 55 of 104 OMI completed investigations for any evidence that prohibited activity was taking place. All reviews indicated that the Office is in compliance with the requirements of this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.44 Compliance with Task 54: Officers to Provide Name and Badge Number on Request
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 … Q18 Q19 Q20

Primary Secondary Operational

Paragraph 54 requires officers to provide citizens with their names or badge numbers, upon request. Section 101-4.06, "Conduct Toward the Public" requires that "when requested by any person, a member shall give his name and badge number in a courteous manner."
Methodology
The auditor reviewed all OMI cases for the nineteenth quarter (February 16, 2002 through May 15, 2002) to determine if allegations of failure to provide name and
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badge number were made to OMI and sustained by investigation. Five allegations were completed this quarter. Three of these were returned for additional investigation, in part because the completed investigations did not address the badge number allegations. This is the second consecutive quarter in which OMI has experienced difficulty with this task. Based on an agreement between the parties, once compliance has been attained, two consecutive quarters of non-compliance will result in withdrawal of compliance status. The City is judged not to be in compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

2.45 Compliance with Task 55: Interview of Complainants at Alternative Sites
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 55 stipulates that OMI will interview witnesses at alternative sites if they are unavailable for interviews at OMI offices. The paragraph also requires reasonable notice before all interviews. Section 4-2(B) of the OMI manual stipulates that OMI will arrange to interview complainants "off-site," if necessary.

Methodology

The auditor reviewed completed OMI case investigations to determine if interviews were being conducted "off site." Among the 55 completed investigations assessed during this quarter, evidence of OMI investigators conducting interviews off-site (usually at the witnesses’ homes) was noted. The frequency of these off-site interviews was high enough to indicate that these interviews were a normal practice for the office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.46 Compliance with Task 56: OMI to Tape and Transcribe Interviews
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 56 requires OMI to tape-record and transcribe all interviews, and to refuse to accept "special reports" in lieu of an interview. Further OMI is required to reserve the right to question all interviewees, and to challenge their version of the facts.

Methodology

The OMI manual stipulates a "Tape Recorded Statement Form" and Section 4-2 stipulates that all statements will be tape recorded. Section 6-3 stipulates that all tape-recorded statements will be transcribed. The auditor reviewed 55 of the 104 cases completed this quarter by OMI. These cases were reviewed to ensure that all interviews were tape-recorded and transcribed. Of the 55 cases in which interviews were conducted all but four included taped and transcribed interviews of witnesses. An error rate of four of 55 cases constitutes a 7.3 percent failure rate. This is the first quarter since resolution of the transcribed interview issue with the FOP that the City has experience difficulty with this task. Continued problems in this area will result in loss of compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.47 Compliance with Task 57: OMI Staff Access to PARS

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 57 stipulates that OMI staff should be provided access to the city’s PARS. The manager of OMI, the intake coordinator and two investigators have been trained in the use of the PARS. The office currently has virtually unlimited
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access to OMS/PARS to prepare complaint histories, assignment histories, etc. This access is provided through the Manager of the Office.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.48 Compliance with Task 58: OMI to Interview Supervisors at Scenes of Incidents Leading to Allegations of Misconduct
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 58 requires that OMI identify all supervisors and senior supervisors who were at the scene of events which result in allegations of misconduct, and to detail their handling of the situation during and after the alleged incident. The supervisors and senior supervisors will be interviewed concerning their observations of the complainant and the accused officers.

Methodology

The auditor reviewed 55 of 104 completed OMI case investigations for the nineteenth quarter, noting instances in which supervisory personnel were apparently present at the scene of events leading to complaints. Consistent failures to interview supervisory staff that were present at the scenes of incidents resulting in complaints were noted this quarter. Of thirteen complaints that had supervisory personnel at the scenes of incidents leading to the complaints, two of the completed investigations had no taped and transcribed interviews of the supervisors on-scene (an error rate of 15.4 percent). Based on an agreement between the parties, once compliance has been attained, two consecutive quarters of non-compliance will result in withdrawal of compliance status. Continued problems in this area will result in loss of compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.49 Compliance with Task 59: OMI to Canvass for Witnesses
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 … Q18 Q19 Q20
Primary Secondary Operational

Paragraph 59 requires OMI to canvass the scene of an incident for witnesses "as soon as possible" after receiving a complaint where canvassing could "reasonably yield" additional information.

Methodology

The auditor reviewed all completed OMI cases for the nineteenth quarter (February 16, 2000 through May 15, 2002) to determine if OMI personnel were conducting canvasses as required by this paragraph of the decree. Fourteen of these cases appeared to involve fact situations or locations in which a canvass would potentially produce witnesses. Ten of the cases resulted in witness canvasses, resulting in a failure rate of 28.5 percent. This is the second consecutive quarter of non-compliance with this task, and the City is judged not to be in compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

2.50 Compliance with Task 60: OMI to Review Police Shootings
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 60 requires OMI to review all police firearms discharges, and all reports prepared by the coroner relating to deaths caused by police shootings.
Methodology
The auditor assessed, through departmental records, the number of policeinvolved shootings that occurred during the nineteenth quarter and found none.
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Two were noted last quarter. Those incidents were reviewed by OMI as required in the OMI Manual. The City is judged to remain in compliance with this task based on past performance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.51 Compliance with Task 61: OMI to Aggressively Investigate Allegations of Misconduct

Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17 Q18

Primary Secondary Operational

Paragraph 61 requires that OMI investigators "aggressively" investigate allegations of misconduct, collecting themselves documents and information needed to resolve allegations of misconduct.
Methodology
The auditor reviewed all OMI investigations completed from February 16, 2002 through May 15, 2002, to assess the level of completeness of the investigations. The investigations were evaluated regarding complaint receipt and processing, case management, investigation and documentation, findings and determinations and reporting. The office completed 104 investigations during the nineteenth quarter. The auditor reviewed all supporting documentation for 55 of these cases, and returned 15 of the 55 for further investigative action, such as witness canvasses, interviews of supervisory personnel on scene, investigation of failure to provide badge number, etc. These cases are discussed in section 2.53, below.
An error rate of 15 of 55 cases constitutes a 72.8 percent compliance rate, a rate obviously not within the acceptable range. OMI was declared out of compliance with Task 61 during the, fifteenth, sixteenth and eighteenth quarters, and was warned concerning this task during the fourteenth quarter. The office was also warned concerning this task during the thirteenth quarter and again in the twelfth quarter. During the past six quarters, OMI has been out of compliance with this task five times, and has been “under warning” an additional three quarters. The Office’s performance this quarter, in the opinion of the auditor, represents a significant systems failure, with only 27.2 percent of the 55 cases reviewed found
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to be appropriately investigated. These failures appear to be attributable to informal policy changes, problems with training for OMI staff (noted in several previous reports), and operations oversight.

Status:

Primary: Not In Compliance Secondary: Not In Compliance Operational: Not In Compliance

2.52 Compliance with Task 62: OMI to Act on Behavior "Outside the Four Corners"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 … Q17 Q18 Q19 Q20

Primary Secondary Operational

Paragraph 62 requires OMI to act on behavior it notices, during the course of an investigation, that is in violation of policy or procedure, but which may not have been a part of the original allegation. Commonly, these types of findings are labeled "outside the four corners" of the original complaint.

Methodology

Of the 55 investigations assessed for the nineteenth quarter, thirteen involved potential allegations of "collateral misconduct." Only six of these were completely investigated. Seven of the completed investigations returned for additional work this quarter were returned, in part, because the investigation failed to address issues of collateral misconduct. This constitutes and error rate of 46.2 percent. Based on an agreement between the parties, once compliance has been attained, two consecutive quarters of non-compliance will result in withdrawal of compliance status. This is the second consecutive quarter in which the City has experience difficulty with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

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2.53 Compliance with Task 63: OMI to Issue Final Reports
Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17
Primary
Secondary
Operational
Paragraph 63 requires OMI to issue final reports on all investigations. The final report is required to identify any misconduct noted, to provide a summary of evidence gathered, document credibility determinations, document findings, and identify the officer’s complaint history. The final report is required to be part of the OMI investigative file.
Methodology
The auditor reviewed final reports of all 104 investigations completed by OMI between February 16, 2002 and May 15, 2002. In addition, the auditor reviewed supporting documentation for 55 reports issued this quarter. Each of the investigative files contained a final report. The final reports were assessed for completeness, conformance to established practice in internal investigations, and conformance to the requirements of the consent decree. Of the 55 case reports reviewed this quarter, 15 were deemed to require additional investigative work.
1) AQR19-A, which alleges, on the OMI intake form, excessive force and false arrest. The investigation ignores the allegation of false arrest, and fails to address a collateral misconduct allegations that the officers failed to identify themselves as police and of conduct unbecoming toward a neutral third party witness. The investigation fails to comply with the following consent decree paragraphs: 59 (canvass for witnesses), 61 (OMI to aggressively investigate allegations of misconduct), 62 (investigate collateral misconduct), 65 (use preponderance of the evidence), and 66 (consider officers’ complaint history).
2) AQR19-B, a case alleging verbal abuse, in which the officer denies the abuse, the complainant states that it occurred, all witness officers state they “don’t remember,” “didn’t hear,” or “don’t recall” the accused officer verbally abuse the complainant. Based on this evidence, the Office “Unfounds” the case. This investigation violates the following paragraphs of the consent decree: paragraph 66 (consider officers’ complaint history), 65 (use preponderance of the evidence), and 61 (OMI to aggressively investigate allegations of misconduct).
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3) POMI-19-C, which alleges rudeness, failure to provide badge number, and illegal towing of a vehicle. The complainant alleges that the “No Parking” zone in question was marked “Except Sunday.” The final report addresses the failure to provide badge number allegation by noting that the officer’s name should have been on the citation. Paragraph 54 of the decree requires officers to provide their names and badge numbers on request. The investigation fails to comply with the following consent decree paragraphs: 59 (canvass for witnesses), 49 (closure for failure to cooperate), and 61 (OMI to aggressively investigate allegations of misconduct).
4) AQR19-D, which alleges a racial epithet, an illegal search, and use of profanity during an altercation. The officer admitted using the words “fucking bitch” in repeating comments allegedly made to her by the complainant, a direct violation of General Order 16-1 (members will maintain decorum and command of temper and refrain from the use of harsh, coarse, profane or uncivil language). The case was unfounded. The investigation fails to comply with the following consent decree paragraph: 61 (OMI to aggressively investigate allegations of misconduct) and 65 (use preponderance of the evidence).
5) AQR19-F, which alleges a racial epithet, a threat of violence, mishandling of personal property, and excessive force. The allegations of use of a racial epithet and use of a threat of violence are “unfounded” on the facts that the complainant alleged it happened; the principal officer denied it; the witness officer “did not hear it.” The auditor considers this a failure to use the preponderance of the evidence standard, in contradiction of paragraph 65 of the decree. This is also in violation of paragraph 66 of the decree, automatic preference for officers’ statements. The investigation fails to comply with the following consent decree paragraphs: 59 (canvass for witnesses), 61 (OMI to aggressively investigate allegations of misconduct), 62 (investigate collateral misconduct), 65 (use preponderance of the evidence), and 66 (consider officers’ complaint history).
6) AQR19-G, which alleges improper conduct toward the public and includes a collateral misconduct allegation of failure to provide name and badge number. The investigation was incomplete, in contradiction of decree paragraphs 65 (preponderance of the evidence) and 66 (automatic preference for officers’ statements). Despite the fact that the officer
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admitted failing to appropriately provide his name and badge number when requested, the case fails to investigate the allegation of failure to provide name and badge number, in violation of paragraphs 61 and 62 of the decree, (aggressively investigate allegations of misconduct, and act on behavior outside the “four corners” of the allegation).
7) AQR19-H, which alleges excessive force, official oppression (threatening to “blow your head off), improper conduct toward the public, illegal search, false arrest, verbal abuse and use of racial epithets. The investigation deals with the allegations of illegal search, excessive force, and conduct toward the public. The investigation does not address the issues of use of racial epithets and threats. The investigation languishes for four years, and is unfounded due to an inability to contact and interview the complainants four years after the complaint was filed, and because the complaint was filed more than 90 days after the incident, which gave rise to it. The investigation fails to comply with the following consent decree paragraphs: 61 (OMI to aggressively investigate allegations of misconduct), and 65 (use preponderance of the evidence).
8) AQR19-I, which alleges self assigned investigations, improper conduct toward the public, untruthfulness, harassment, improper use of the police uniform, and fraud. This complaint also alleges fraud, in that the principal officer is alleged to have “contacted [the complainant’s] insurance company implying that [the principal officer] was making a new claim unrelated to the April 27, 2001 vehicle accident [at question in this case]. Such an action would be fraud. This allegation is not addressed by the investigation, despite the fact that it would be a criminal act. Despite the fact that the officer admitted being in-uniform, off-duty at the complainants home, the Office unfounds the allegation of improper use of the police uniform. The investigation also fails to comply with the following consent decree paragraphs: 61 (OMI to aggressively investigate allegations of misconduct), 56 (taped and transcribed interviews), 62 (investigate collateral misconduct), 65 (preponderance of the evidence) and 66 (automatic preference for officers’ statements).
9) AQR19-J, which alleges excessive force, improper conduct toward the public, and contains collateral misconduct allegations of failure to accurately prepare a Subject Resistance Report and preparing a false police report. Two collateral misconduct allegations arise in this case. Neither is investigated or addressed. The investigation fails to note glaring discrepancies in and among three separate police reports concerning the incident. The case violates the following consent decree
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paragraphs: 61 (OMI to aggressively investigate allegations of misconduct), 65 (preponderance of the evidence), 56 (taped and transcribed interviews), and 62 (investigate collateral misconduct).
10)AQR19-K, which alleges an illegal entry into the complainant’s home, an illegal search, and entry into a home, absent a warrant, based on threats to “break the door down.” No witness canvass was conducted, and it appears that a neighbor may have been interviewed but the interview was not taped or transcribed. The investigator in this case fails to ask officers questions specific to the complainant’s allegations, fails to ask who requested consent to search the home, fails to ask how the owner consented to the search, and fails to note in the final case report that several inconsistencies exist in the officers’ statements. This investigation is violative of paragraphs 59 (canvassing for witnesses), 56 (taped and transcribed witness statements), 62 (aggressively investigate allegations of misconduct) and 65 (preponderance of the evidence).
11)AQR19-L, which alleges untruthfulness and improper conduct toward the public. The officer admitted to the exact words complained about by the complainant in her statement. The Office “exonerates” the complaint despite this admission. The investigation fails to conform to paragraph 61 of the consent decree (aggressively investigate allegations of misconduct), 65, (use of the preponderance of the evidence standard), paragraph 62 (investigating collateral misconduct), and 66 (automatic preference for officers’ statements).
12)AQR19-N, which alleges theft and false arrest. The investigation does not address the false arrest allegation. Two officers known to have been at the scene were not interviewed. The investigation is incomplete, and violates the following consent decree paragraphs: 61, (aggressively investigate all allegations), and 59 (canvass for witnesses),.
13)AQR19-O, which alleges an illegal search by unknown officers due to a mistaken identity. The Office exonerates on of the accused officers because he was in training until the day before the incident was alleged to have occurred. This investigation is in violation of paragraph 61 of the decree (aggressively investigate allegations of misconduct).
14)AQR19-P, which alleges harassment and an illegal search. The search conducted was, according to officers’ statements, based on a 911 call and dispatch regarding a man with a gun. At least two known witnesses are not interviewed, and no reason for this failure is noted. This allegation is
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not fully investigated. This investigation violates paragraphs 61 (aggressively investigate allegations of misconduct).

15)AQR19-Q, which alleges official oppression, false arrest and conduct unbecoming a police officer. The investigative file consists of multiple copies of the final report, copies of legal definitions, and a taped interview of the accused officer. The investigator exonerates the conduct unbecoming charge and unfounds the official oppression charge— apparently without even interviewing the complainant. This investigation is incomplete and poorly documented, in violation of paragraph 61 (aggressively investigate allegations of misconduct).

A failure rate of 15 of 55 completed cases constitutes 27 percent, far in excess of the allowable five percent. The nineteenth quarter constitutes the sixth quarter in the last seven in which the city has exhibited problematic performance in completing effectively citizens’ complaint investigations.

Status:

Primary: In Compliance Secondary: Not in Compliance Operational: Not In Compliance

2.54 Compliance with Task 64: OMI to be Adequately Staffed

Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17 Q18 Q19

Primary Secondary Operational

Paragraph 64 requires the city to provide OMI with "sufficient staff, funds and resources to perform the functions required" by the decree, and establishes requirements for selection as an OMI investigator.
Methodology
Adequate staffing for the Office of Municipal Investigations, as it relates to the requirements of the consent decree, is relatively easy to define: the office is adequately staffed when the number of completed cases equals the number of cases received by the office, over a protracted period of time. Additional personnel were assigned to OMI last quarter, increasing the number of personnel assigned to investigate active cases from four to ten, effective February 15, 2002. In addition, seven new investigators were added during the 19th quarter,
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one to the “current case” team and six to the backlog team. Total staffing at OMI, dedicated to investigating civilian complaints, now consists of 17 investigators, two “writers,” and a civilian case manager. A secretary and the Office’s manager round out the complement of personnel working on citizens’ complaints.
During the nineteenth quarter, the office completed 104 complaint investigations. A total of 34 cases cleared this quarter were “backlog” cases, which represents a substantial improvement over previous quarter’s performance. Of the backlog cases completed this quarter, three were returned for additional work, leaving a net of 31 cases removed from the backlog. A total of 70 “current” cases were closed this quarter. Substantive problems were noted with 12 investigations completed this quarter, leaving a total of 58 current cases cleared. The Office received a total of 59 cases for the quarter, adding one case to the total to be investigated.
The reader should note that the City objects to this quarter’s analysis of cleared and received cases, stating that it is a departure from previous quarters, in which only total cases cleared were used in the calculation. Previously, both backlogged and current cases were combined to calculate the total number of cases cleared; however, the auditor noted serious problems with backlogged cases, as early as the first quarterly report, in which the auditor wrote:
“In the estimate of the auditor, however, more personnel are needed immediately to release the backlog of cases open more than 90 days. It is highly probable that, given the training regimen needed for OMI personnel and given the projected increase in the numbers of citizens’ complaints expected as a result of the decree, more personnel will be needed on a permanent basis” (AQR One, p. 55).
The issue of the backlog has been treated consistently in the auditor’s reports, including mention in AQR for the fourth and sixth quarters, with the auditor noting in the sixth report:
“Case backlog for the Office continues to be troubling, however. Currently, the office has a backlog of more than 430 cases, and case intake currently outpaces case completion by a six-to-one ratio. Many of the older cases in the OMI backlog were filed nearly two years ago. The Office should carefully consider how it will complete these pending investigations, maintain pace with new intakes, continue its new-found level
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of quality, and institutionalize its new management processes” (p. 57).
The backlog issue was addressed again in the eighth quarterly report, and again in the tenth quarterly report, with the auditor expressing concerns that the backlog was beginning to affect the management practices of the Police Bureau.
In the eleventh quarterly report, the auditor noted that there existed a critical difference between “current” and “backlog” investigations, noting:
“[r]esolution of the staffing and productivity issues within OMI have reached a critical stage, and threaten the overall success of the consent decree. While a substantial number of investigators have been added to OMI with creation of a ‘backlog squad,’ the number of OMI investigators assigned to “current” cases is four: a number exactly equal to the number of investigators available to investigate police-related cases in October, 1997” (p. 48).
The backlog issue was addressed again in the sixteenth quarterly report, with the auditor noting “More than 64 percent of the original backlog, identified by the city, remains” (p. 50). In the seventeenth quarter, the auditor noted that no backlogged cases were cleared. In the eighteenth quarterly report, the auditor noted that “continued problems with backlog investigations… leave the City not in compliance with this task [of adequate staffing for OMI]” (p. 55).
Verbal encouragement to deal effectively with the backlog, while maintaining equal input-to-output numbers for current cases has been consistently provided to the City by the auditor. Obviously, when the auditor developed the operational definitions for the audit process, more than four years ago, no one anticipated that in the 19th quarter of a 20-quarter process, the backlog would continue to plague the Office. While the City is correct that this quarter’s staffing analysis represents a change over past practice, it is in response to past warnings and admonitions concerning the backlog. One cannot argue that the Office is adequately staffed when new cases are being added to the backlog, as was the case this quarter.
During the nineteenth quarter, the City has made progress in reducing the backlog of citizens’ complaints pending investigation. A total of 34 “backlogged” cases were closed this quarter. Three were returned for additional work, leaving 31 completed backlog cases. This represents a substantial improvement over previous quarters, and the City is commended for its performance on completing
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backlog cases this quarter. Figure One, below, depicts the number of cases pending, by length of time pending.

Figure One: Length of Pending OMI Investigations, In Days
120

100

80

60

40

20

0

61-90 91- 181- 361- 541- 721- 901- 1081- 1261- >1440

180

360

540

720

900 1080 1260 1440

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not in Compliance

2.55 Compliance with Task 65: OMI to Use the Preponderance of Evidence Standard
Q1 Q2 Q3 Q4 Q5 … Q15 Q16 Q17 Q18 Q19 Q20

Primary
Secondary
Operational
Paragraph 65 requires OMI to use the preponderance of the evidence standard in determining findings on cases assigned for investigation.
Methodology
The auditor reviewed 55 of the 104 OMI investigations completed this quarter, and found 40 of them to be effectively completed. Of the 15 cases returned by the auditor this quarter, eight exhibited problems in the use the preponderance
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of the evidence standard. This constitutes and error rate of 14.5 percent (eight of 55 cases reviewed). This is also the second consecutive quarter in which the City has demonstrated problems with this task. The City is judged not in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

2.56 Compliance with Task 66: No Preference for Officers’ Statements

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary
Secondary
Operational
Paragraph 66 stipulates that "there shall be no automatic preference of an officer’s statement over a complainant’s statement," and further requires that OMI investigators shall consider the officer’s history of complaints and disciplinary records and the complainant’s history in making credibility determinations, which shall be explained fully in writing.

Methodology

The auditor reviewed 55 of the 104 investigations of citizens’ complaints completed during the nineteenth quarter for conformance to this requirement. Two of the completed investigations appeared to exhibit an automatic preference for police officers’ statements over those of witnesses. The error rate of 3.6 percent falls within the allowable margin. The city remains in compliance with this task; however, these two cases were returned for additional investigative work.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.57

Compliance with Task 67: OMI Retains Final Investigative

Authority

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 67 stipulates that OMI will retain final authority for investigations of police personnel. It stipulates that OMI retains final authority for determining findings and dispositions of all investigations, and specifically precludes supervisors and senior supervisors from modifying or reversing any OMI disposition of complaints.

Methodology

The auditor reviewed all OMI investigations completed between February 16, 2002 and May 15, 2002, searching for a case that resulted in a finding that was "reversed" by a supervisor or senior supervisor. No such cases were found. The city is judged to remain in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.58 Compliance with Task 68: Change "Not Sustained" to "Not Resolved"
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 68 requires the city to change the OMI disposition category of "Not Sustained"
Methodology

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The auditor assessed all completed OMI investigations for the period of February 16, 2002 to May 15, 2002 to determine if the disposition of "Not Resolved" was appropriately used. All dispositions so declared were appropriate. The office is judged to remain in compliance with task 68.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.59 Compliance with Task 69: OMI to Issue Quarterly Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 69 requires OMI to issue quarterly reports on its activities. The report is required to list each investigation’s significant dates, general allegations, disposition and resulting discipline.

Methodology

The auditor reviewed the last quarterly report completed by OMI for conformance to the requirements of paragraph 69, and found that the report met the requirements of the decree.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.60 Compliance with Task 70: Appoint Auditor within 90 Days

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 70 requires the appointment of an auditor for the consent decree by July 16, 1997.
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Methodology

Conformance with this paragraph is measured by noting the date of the auditor’s appointment. A contract for the audit was issued, dated December, 4 1997, and has been updated annually. The city is in compliance with the process of appointing the auditor, although tardy in doing so. For the purposes of the audit, the city is considered to be in operational compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.61 Compliance with Task 71: Auditor to Perform Quarterly Assurance Checks

Paragraph 71 requires the auditor to perform quarterly assurance checks of the following:

•

OMI final reports;

•

Substance and timeliness of 50 percent of all OMI investigations

completed;

•

Statistical information on the number and types of complaints filed with

OMI;

•

Statistical information on discipline imposed on sustained complaints;

•

Assessments of officer use of force, searches and seizures, and traffic

stops.

Methodology

Quarterly assurance checks of OMI final reports are provided in section 2.51, above. Comments regarding substance and timeliness of OMI investigations are included in sections 2.37, 2.43, 2.62 and elsewhere in this quarterly report. Sufficient data now exist to allow comment on statistical information regarding the number and type of complaints filed with OMI, and discipline imposed on sustained complaints. The following sections report statistical information regarding the operation of the Office of Municipal Investigation. Data reported in this section involve citizens’ complaints only.

Number and Type of Complaints Filed

Complaints filed with OMI over the last 16 quarters fall into three categories:

•

Type 1 (allegations of rules violations);

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•

Type 2 (allegations relating to attitude and conduct); and

•

Type 3 (allegations of abuse).

Type 1 allegations include failure to perform, neglect of "ministerial" duties, inaccurate reporting, violation of departmental orders such as those regulating secondary employment, minor events of conduct unbecoming an officer, etc Type 2 allegations include intentional mishandling of property or evidence, intermediate acts of conduct unbecoming (such as rudeness and poor attitude), conduct of self assigned investigations, and failure to perform or neglect of duty "on scene." Type 3 allegations include allegations of excessive force, illegal search, racial discrimination, intimidation, untruthfulness and verbal abuse. Table One, below, depicts the number and type of citizens’ complaints received by OMI during the fourteen quarters covered by the consent decree.

Table One: Complaints Received by the Office of Municipal Investigations, 1st through 17th Quarters (1997-2002)

Quarter

Type 1

Type 2

Type 3

1

18

9

26

2

22

15

39

3

33

32

59

4

42

19

84

5

33

18

58

6

8

12

24

7

25

1

15

8

14

16

13

9

39

0

35

10

39

60

48

11

18

27

41

12

14

0

14

13

5

30

7

14

4

11

15

15

16

8

32

16

12

6

16

17

7

3

24

18

7

5

26

19

8

20

28

598

414

957

Source: Electronic database provided by City of Pittsburgh, CIS.

Total 53 76 124 145 109 44 41 43 74 147 86 28 42 30 56 34 34 38 56
1969

Average Complaint Severity

Using the same typology outlined above, the average severity of citizens’ complaints received by the Office of Municipal Investigations can be calculated
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for the sixteen quarters covered by this report. The average (mean) severity of complaints filed with the office are represented in Figure Two, below. As the figure indicates, the average severity of complaints has dropped consistently since the beginning of the consent decree, but began rising again in the fourteenth quarter. The orange line in Figure Two (and other figures depicted in this report) is a linear regression analysis, designed to allow the reader to determine the "trend line" for a given set of data. The average severity of complaints filed with OMI have risen steadily over the last ten quarters, although the number of complaints received have dropped substantially, with the exception of the most recent quarter.
Figure Two: Average Severity Of Citizens’ Complaints, Quarters One-Nineteen

3

2.5

2

1.5

1

0.5

0 Q1 Q2

Q3 Q4 Q5

Q6 A7

Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17 Q18 Q19

Disposition of Citizens’ Complaints
Complaints investigated by OMI are classified, upon completion, as one of four disposition categories:
Exonerated (evidence indicated that the event occurred, but that the officer was acting in conformance with the law or PBP policy); Not Resolved (not enough information was available to prove or disprove the allegation); Sustained (evidence indicated that the allegations were true); or Unfounded (evidence indicated that the allegations did not occur).
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Figure Three, below, depicts the rates at which OMI resolved the complaints received during the first seventeen quarters covered by this report The percentage of sustained complaints appears to have risen gradually over the seventeen quarters, while the variance has been high, as depicted by the orange “trend line” depicted in Figure Three.

Figure Three: Resolved Complaints by Disposition, by Quarter (1997-2002)

0.8

0.7

0.6

Sustained 0.5
Exonerated

0.4

Unfounded

Not Resolved

0.3

Linear (Sustained)

0.2

0.1

0

Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17 Q18 Q19

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Rate of Sustained Complaints
The rate at which the Office of Municipal Investigations sustained citizens’ complaints are reported in Figure Four, below The data depicted in Figure Four were calculated by determining the number of complaints investigated by OMI during each quarter that were resolved with a “sustained” finding, and comparing that number with the number of complaints that quarter that were resolved with any finding other than “sustained.” The rate of sustained complaints continues to vary widely, averaging just over 10 percent for the duration of the decree.
Figure Four reports the percentage of complaints, by quarter, which were sustained as a result of the OMI investigation. As with other data reported in this section, Figure Four deals only with investigations of complaints filed by citizens. Complaints investigated by OMI as a result of an internal infraction referred to OMI by the Bureau of Police are not included in these analyses.
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Figure Four: Rate of Sustained Citizens’ Complaints By Quarter (1997-2002)
0.3 0.25
0.2 0.15
0.1 0.05
0 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13 Q14 Q15 Q16 Q17 Q18 Q19
Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Complaints Received and Complaints Cleared The number of citizens’ complaints received by OMI during the last seventeen quarters, compared to the number of complaints resolved by the office is reported in Figure Five, below. As with all other data reported in this section, these data are also calculated using data provided by the city and “cleaned” by the auditor’s staff. Figure Five reports two categories of data for the seventeen quarters covered by this report The first category reported identifies the number of citizens’ complaints received by the Office of Municipal Investigations (either by person, telephone, mail or anonymously) The second category reported identifies the number of complaints resolved by OMI investigation.
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Figure Five: Received v. Cleared Complaints By Quarter (1997-2002)

160

140

120

100

80

60

40

20

0

Q2

Q4

Q6

Q8

Q10

Q12

Q14

Q16

Q18

Cleared Received Linear (Received) Linear (Cleared)

Source: Electronic database provided by City of Pittsburgh, CIS and calculations by the auditor.
Length of OMI Investigations
Data necessary to calculate the length of OMI investigations for the nineteenth quarter were developed using city electronic databases. Data reflecting the average time required to complete an OMI investigation are reflected in Figure Six, below. Overall, the length of time for completing current investigations is increasing substantially, from just over 150 days in the ninth quarter (the quarter the backlog squad was initiated) to more than four hundred days in the nineteenth quarter (as represented by the linear regression in Figure Six). The actual average number of days required to investigate current and backlogged cases is depicted in Table Two, below.

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Table Two: Average Days to Complete OMI Investigations, Quarters Nine-Nineteen1

Q9 Q10 Q11 Q12 Q13 Q14 Q15

All

342 343 342 293 277 555 395

Backlogged 568 366

498 478 908 780

Current

182 64

141 165 326 170

Q16
825 1059 197

Q17
781 1382 521

Q18
714 1405 465

Q19
678 1545 416

Figure Six: Average Number of Days Required to Complete OMI Investigations1
Figure Six updates errors in graphing for the 16th and 17th quarters in the 17th quarterly report.

160

140

120

100

80

60

40

20

0

Q2

Q4

Q6

Q8

Q10

Q12

Q14

Q16

Q18

Cleared Received Linear (Received) Linear (Cleared)

2.62 Compliance with Task 72: of Incomplete OMI Investigations

Auditor to Recommend Reopening

Paragraph 72 requires the auditor to “reopen” investigations which are deemed to be incomplete Further, the auditor is required to provide written directions on steps that should be taken to complete the investigation.

Methodology

1 Data for the eleventh quarter were not available. Auditor’s Nineteenth Quarterly Report August, 2002 Public Management Resources San Antonio, Texas

Page -67
The auditor has reviewed all 104 final reports of OMI investigations of citizens’ complaints completed between February 16, 2002 and May 15, 2002. In addition, the auditor conducted a comprehensive review of supporting documentation for 55 of 104 cases completed during this time frame. Of those cases, 15 were remanded to the Office of Municipal Investigations for additional work. These cases are described in section 2.53, above.

2.63

Compliance with Task 73:

City to Prepare Progress Reports

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 73 of the decree requires the city to prepare a status report 90 days after entry of the decree, e.g., July 16, 1997, and every six months thereafter The first report was issued July 11, 1997; the second was issued January 16, 1998 The third was issued in July, 1998, etc. The auditor has reviewed each of these progress reports. The city remains in compliance with the requirements of task.

2.64 Compliance with Task 74: City to Maintain Records Necessary Methodology
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

All records requested by the auditor were provided in a timely fashion, with one exception. Documentation for all recent training for OMI staff was not available from OMI, and was not available from the training academy—a departure from past practice. The city is judged to remain in compliance with this task for this quarter, but continued problems with this task will result in loss of compliance.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

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2.65 Compliance with Task 75: Unrestricted Access for Auditor
Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 75 requires the city to provide the auditor with unlimited access to PBP records relating to the decree and conformance thereto Further, access to all staff and facilities as needed to effectively monitor the decree is also required.

Methodology

The auditor experienced unlimited access during audit processes for the nineteenth quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.66 Compliance with Task 76:

Unrestricted Access for Justice

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 76 requires the city to provide the Department of Justice with access to documents, databases, and other data necessary to evaluate compliance with this decree Further it requires access to staff and facilities upon appropriate notice.

Methodology

No changes in the access for Justice was noted this quarter. The city remains in compliance with this task.

Status:

Primary: In Compliance Secondary: In Compliance

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Page -69

Operational: In Compliance

2.67 Compliance with Task 77: Officers

Copies of Consent Decree to All

Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Primary Secondary Operational

Paragraph 77 of the decree requires the city to provide copies of the consent decree to all officers, and to explain the terms of this decree to all current and future officers, OMI employees, and all DPS employees with oversight or responsibility for PBP operations All such individuals are further required to sign a statement indicating that they have received, read and understand the consent decree. The city is required to retain these statements.

Methodology

The auditor has reviewed signature records retained by the city acknowledging receipt, reading and understanding of the decree. These have been signed by all supervisors, senior supervisors, command personnel, OMI personnel, and appropriate individuals at the Department of Public Safety. A video has been developed explaining the consent decree, and all on-duty sworn personnel have viewed the video. The auditor has reviewed the video, and has found that it adequately explains both the letter and spirit of the decree, as well as the city’s approach to compliance Currently, the department has trained all current activeduty officers, and received officer signatures stating understanding of the decree, except for those on extended leave or otherwise not available

Status:

Primary: In Compliance Secondary: In Compliance Operational: In Compliance

2.68 Compliance with Task 78:

90 Day Timeline for Conformance

Q1 Q2 Q3 Q4 Q5 Q6 … Q12 Q13 Q14 Q15 Q16 Q17 Q18 Q19

Primary Secondary Operational

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Page -70

Paragraph 74 establishes a default timeline of 90 days for conformance to all provisions not specifically given another timeline by the decree

Methodology

Each of the separate provisions of the decree is assessed for compliance to established timelines in the pages above. With the passage of April 16, 1998, an additional set of tasks came “on-line,” those involving automation of the PARS. The city is currently in primary compliance with 73 of the 74 provisions to which the city should have complied by now. The city is in secondary compliance with 72 of the 74 provisions due as of November 15, 1998. It is in operational compliance with only 66 of the 74 tasks, due as of November 15, 1998. In addition, the City is “under warning” for poor performance in five other tasks agreed to in the consent decree. Issues with investigative processes at OMI have caused the office to City to fall out of compliance or be warned regarding thirteen tasks this quarter.

Status:

Primary: In Compliance Secondary: In Compliance Operational: Not In Compliance

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Page -71
3.0 Summary
The sixteenth through eighteenth quarters, ending February 15, 2002, were troubling quarters, serving as a potential precursor to serious difficulty in maintaining compliance with many aspects of the consent decree. It appears that the problems identified in those two quarterly reports have crystallized during the nineteenth quarter, creating serious problems with the OMI investigative process, and leading the auditor to reject a total of 15 of the 55 cases reviewed this quarter. OMI performance this quarter deeply concerns the auditor, with problems evident in staffing, training, and now oversight of the investigative process. More than 27 percent of the 55 completed OMI cases reviewed by the auditor this quarter were problematic. More troubling, four cases, in which officers admitted behavior not in compliance with Bureau policies were unfounded or exonerated by the Office.
To the City’s credit, OMI managers met with the auditor during the site visit for the twentieth quarter and developed an action plan to deal with the deficiencies noted by the auditor during the nineteenth quarter. Within days, the Office had retrained its investigators, with training designed to remedy problems noted in the nineteenth report. OMI staff also met with the auditor to review investigative policy and practice.
The City’s performance this quarter is deeply troubling, given the fact that the consent decree is in the nineteenth quarter of a twenty-quarter project. The city is judged to have exhibited problematic performance with 13 tasks this quarter, including:
1. Task 46: OMI staff training. The auditor was unable to retrieve documented training records for all OMI civilian staff, as required by this task and task 74. The auditor will continue to pursue this topic for the 20th quarterly report. Continued problems with this task will result in a loss of compliance.
2. Task 49: Closure of OMI investigations. Task 49 prohibits the closure of an OMI investigation simply because a complainant withdraws a complaint, or fails to cooperate in the investigation. The auditor found an unacceptably high error rate in this requirement this quarter. While this issue has not resulted in a loss of compliance, renewed focus is required to ensure that all withdrawn or non-cooperative complaints are investigated fully.
3. Task 54: Officer to provide name and badge number. The auditor found three instances in which allegations were made that officers failed to Auditor’s Nineteenth Quarterly Report August, 2002 Public Management Resources San Antonio, Texas

Page -72
provide name and badge number information when requested by a citizen, and the allegation was not investigated by OMI. This issue has resulted in a loss of compliance for this quarter, and renewed focus is required to ensure that all badge number complaints are investigated fully.
4. Task 56: Tape and transcribe interviews. The auditor found an unacceptable number of OMI cases that failed to have transcribed interviews of key witnesses in the case file, resulting in a 7.3 percent error rate (four of 55 cases). While this issue has not resulted in a loss of compliance, renewed focus is required to ensure that all OMI interviews are taped, absent documented refusals.
5. Task 58: Interview Supervisors at scene of incidents. Two completed OMI investigations were returned this quarter, in part, for failure to interview supervisors who were at the scene of the incident giving rise to the complaint. While this issue has not resulted in a loss of compliance, renewed focus is required to ensure that all withdrawn or non-cooperative complaints are investigated fully.
6. Task 59: OMI to canvass for witnesses. The auditor returned four completed cases, in part, for failure to canvass for witnesses when such a canvass seemed appropriate. This constituted a failure rate of 44.4 percent of the nine cases, which appeared to require such a canvass. This constitutes the second consecutive quarter in which the City has had performance problems with this task, resulting in a loss of compliance..
7. Task 61: OMI to aggressively investigate cases. The auditor returned 15 of the 55 cases completed this quarter, for a failure rate of 27.3 percent. The City is deemed not in compliance with this task.
8. Task 62: OMI to act on collateral misconduct. The auditor returned seven of 55 completed cases for additional work this quarter, in part because OMI did not pursue evident collateral misconduct allegations. This constitutes and error rate of 12.7 percent. The City is out of compliance for this task.
9. Task 63: OMI to issue final reports. The Office completed 104 investigations this quarter. The auditor reviewed 55 of those investigative reports for completeness, accuracy and the degree to which they meet the standards articulated in the OMI manual. A total of 15 of the 55 investigations were returned for failure to meet established standards,
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Page -73
inaccuracies or incomplete formats. This constitutes an error rate of 27.3 percent, and places the City out of compliance for this task.
10. Task 64: OMI to be adequately staffed. During the nineteenth quarter, the office completed 104 complaint investigations. A total of 34 cases cleared this quarter were “backlog” cases, which represents a substantial improvement over previous quarter’s performance. Of the backlog cases completed this quarter, three were returned for additional work, leaving a net of 31 cases removed from the backlog. A total of 70 “current” cases were closed this quarter. Substantive problems were noted with 12 investigations completed this quarter, leaving a total of 58 current cases cleared. The Office received a total of 59 cases for the quarter, adding one case to the total to be investigated. The City is not in compliance with this task.
11. Task 65: OMI to use preponderance of the evidence standard. The auditor has returned 15 completed OMI investigations, in part, because it appears that the preponderance of the evidence standard has not been used in evaluating case dispositions. This constitutes an error rate of 18.2 percent. This is the second consecutive quarter in which the City has not complied with this task, resulting in a loss of compliance.
12. Task 74: City to maintain records necessary. OMI was unable to produce documented training records for all OMI personnel over the last four quarters, in violation of the requirements of this paragraph of the consent decree. While this issue has not resulted in a loss of compliance, continued problems in this area will result in a finding of non-compliance.
13. Task 78: 90 day timeline for conformance. The decree envisioned complete compliance by the city within 90 days of its implementation, or by July 16, 1997. More than four years later, the city remains out of compliance with eight of the 74 tasks to which it committed in April 1997, and is under warning for five additional tasks.
The OMI investigative process has exhibited serious shortcomings, based on this quarter’s performance. Serious problems exist in the process, as noted in the auditor’s reports beginning in the twelfth quarter. Problems with training, staffing, and now oversight have resulted in failure rates for OMI investigations exceeding 27 percent this quarter.
In addition, a new set of problems has surfaced this quarter. Problems with failure to use the preponderance of evidence standard, failure to aggressively pursue collateral misconduct, failure to interview supervisors on-scene at
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Page -74 incidents giving rise to complaints, failure to canvass for witnesses when appropriate, failure to aggressively pursue complaints alleging failure to provide name and badge number, failure to aggressively pursue withdrawn complaints are all problematic issues which, if they continue, could result in serious degradation of OMI performance. Equally problematic, the office unfounded four citizen complaints, even though the officers admitted to the behaviors alleged in the complaint. In response to issues raised in the last two quarterly reports, the Office has retrained all assigned investigators, emphasizing the need to aggressively investigate, report and process citizens’ complaints. In addition, the City continues to refine its investigative practice and policies.
Problems within the OMI process are of deep concern to the auditor, particularly in light of the fact that the City is 19 quarters into a 20-quarter process. Training for OMI staff, staffing levels at OMI, and executive oversight of the OMI functions are all process issues, of concern and illustrative of areas which need improvement. A failure rate of more than 27 percent of completed investigations is an outcome issue, directly related to the ability of OMI to effectively, fairly, impartially and expeditiously investigate citizens’ complaints.
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 U.S. Department of Justice Office of Community Oriented Policing Services
COPS
COMMUNITY ORIENTED POLICING SERVICES U.S. DEPARTMENT OF JUSTICE
FEDERAL INTERVENTION
IN LOCAL POLICING:
Pittsburgh's Experience with a Consent Decree
by: Robert C. Davis Nicole J. Henderson Janet Mandelstam Christopher W. Ortiz and Joel Miller 1

FEDERAL INTERVENTION
IN LOCAL POLICING:
Pittsburgh's Experience with a Consent Decree
by: Robert C. Davis Nicole J. Henderson Janet Mandelstam Christopher W. Ortiz and Joel Miller i

Acknowledgments
T he authors are indebted to a number of individuals for their assistance in completing this project. They would like to thank the following:
In Pittsburgh: Chief of Police Robert W. McNeilly for his insights and interest in the project; the Pittsburgh Bureau of Police for allowing visits to police zones and interviews with officers over a period of three years; Witold Walczak of the Greater Pittsburgh Chapter of the American Civil Liberties Union for his assistance and comments; and Elizabeth Pittinger of the Citizen Police Review Board for her perspectives and comments.
At the U.S. Department of Justice Office of Community Oriented Policing Services: Matthew Scheider, acting assistant director, and Ellen Scrivner, former deputy director.
At the Vera Institute of Justice: former Director Christopher Stone, Research Director Timothy Ross, Oren Root of the Police Assessment Resource Center, and Van Luu of the Communications Department.
Finally, the authors extend their thanks and gratitude to the community leaders, police officers, and supervisors whose contributions led to a greater understanding of the impact of the reforms.

Acknowledgment

iii

TABLE OF CONTENTS
I. Introduction...........................................................................................................................1
II. Background: Police and the Public in Pittsburgh.............................................................5 Implementing the Consent Decree........................................................................................................ 7
III. Changes Implemented Under the Decree: Bureau of Police............................................9 Early Warning System........................................................................................................................... 9 The PARS System.............................................................................................................................. 10 COMPSTAR....................................................................................................................................... 11 Policy Changes..................................................................................................................................... 13
IV. Has the Decree Affected the Way Officers Approach Their Jobs?..................................17 Focus Groups and Interviews............................................................................................................... 18 The Written Survey............................................................................................................................... 19 Perspectives of African-American Officers............................................................................................ 22		 Looking at Trends in Police Performance............................................................................................. 23
V.  Changes Implemented Under the Decree: Office of Municipal Investigations..................25   Staffing Issues....................................................................................................................................... 25 Training.................................................................................................................................................. 26 Complaint Intake................................................................................................................................... 26 Processing of Complaints..................................................................................................................... 26 Disposition of Complaints...................................................................................................................... 27 OMI Comes into Compliance................................................................................................................ 27 Challenges for OMI............................................................................................................................... 28
VI. Community Views on the Consent Decree and Its Impact on Policing..............................29 The Perspectives of Community Leaders............................................................................................. 29 The Perspectives of Pittsburgh Residents............................................................................................ 31
VII. Lessons Learned...................................................................................................................35 What Positive Lessons Can Other Jurisdictions Learn from Pittsburgh?............................................. 35 What Might have Been Improved in Pittsburgh?.................................................................................. 37 Last Reflections on the Reform Process in Pittsburgh ........................................................................ 38
VIII. Reference...............................................................................................................................41 VIIII. Endnotes................................................................................................................................43
v

I. INTRODUCTION
W hen something goes seriously wrong in one of the nation’s nearly 18,000 local police agencies, usually it is local officials who are responsible for fixing the problem. But when the local political process cannot resolve problems of police misconduct, the federal courts and the U. S. Department of Justice have a variety of powers that allow them to intervene. Congress expanded those powers in 1994, giving the Civil Rights Division of the Justice Department the authority to file civil law suits against states and municipalities in the face of a “pattern or practice” of illegal or unconstitutional police actions.
In the decade since it received that new authority, the Department of Justice has investigated police practices in jurisdictions from New York to California. In some cases, the Department of Justice filed lawsuits, but none of these cases went to trial. Instead, six local governments to date have settled these cases through one or more consent decrees. Nine other investigations avoided litigation entirely when the parties signed a memorandum of agreement or understanding.1 Both the consent decrees and the memorandum agreements generally outline a specific series of reforms that the police department must implement, and most provide for a federal monitor to oversee compliance.
The external police monitor is a relatively new figure in American policing. Monitors measure police performance, assist in the development of more effective police management, and issue periodic reports that inform the parties to the agreement and the public of progress toward compliance with the provisions of the agreement. Monitors are expected to complete their assignments within a few years and to leave the local police force capable of monitoring itself and responding effectively to any future officer misconduct. Much of the success of police reform under a consent decree or memorandum of agreement depends on how the monitor and police officials work together during the years of the decree to achieve compliance and whether the reforms they have put in place endure once the monitor leaves.

Introduction

1

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
As the number of monitors grows, so does the need for a body of knowledge about how police departments operate under their watch. Lessons learned from the early experiences of federal monitoring of local police agencies can offer other jurisdictions models of how to work efficiently with their monitors or help them understand how to bring about police reform without federal intervention. The first place to look for those lessons is Pittsburgh, Pennsylvania.
The Department of Justice in the administrations of both President Bill Clinton and President George W. Bush has entered into consent decrees or memorandum agreements in locales as varied as the small town of Villa Rica, Georgia, and the metropolises of Washington, D.C.; Los Angeles, California; and Detroit, Michigan. The first suit under the 1994 law was filed in Pittsburgh in 1997, and Pittsburgh is the first city to have entered into a consent decree and have the decree lifted from its Bureau of Police. Many people in Pittsburgh were concerned about whether the procedures implemented during the decree would be followed as rigorously once most provisions of the decree were lifted. This is a critical issue for the Justice Department’s use of pattern or practice suits as a method of encouraging reform in police agencies; it is therefore important to examine the effects of monitoring during and after federal intervention in Pittsburgh.
This report is derived from two extensive research reports developed by the Vera Institute of Justice and funded by the U.S. Department of Justice Office of Community Oriented Policing Services.2 Vera researchers first visited Pittsburgh during the fifth year of the decree when sufficient time had elapsed for a real assessment of the changes brought about by the decree but while the federal monitor was still in place. They conducted interviews with the police chief, the monitor, and city administrators; held focus groups with police officers and supervisors; examined data of police activity, public safety, discipline, and morale; tracked the processing of citizen complaints against the police; and assessed public opinion of the monitoring process by interviewing community activists and surveying 400 city residents. Researchers returned to Pittsburgh six months after the decree had been lifted from the Bureau of Police and continued to examine policing in Pittsburgh for an additional year. With the earlier interviews and surveys providing a baseline, they revisited many of the original sources and added a written survey of police officers to determine the lasting effects of monitoring, at least in the short term. The researchers examined the depth to which reforms had taken hold in the Bureau of Police and the acceptance of those reforms by officers on the force; charted the progress of the Office of Municipal Investigations, the agency handling citizen complaints; and assessed community response to the lifting of the decree.
2

What emerges is a picture of how the Pittsburgh Bureau of Police responded to the consent decree and the extent to which changes made under the decree have been institutionalized. The researchers documented many positive consequences of the decree and the reforms it brought about, most notably greatly enhanced accountability systems, better training of police officers, and significant changes in the filing and investigation of citizen complaints. There were also unintended consequences of the reform process: many officers stated that they were less willing to engage the public, and new policies led to the weakening of some basic principles of community policing.

I. Introduction

3

II. Background: Police and the Public in Pittsburgh
II. Background: Police and the Public in Pittsburgh
F or most of the 20th century, Pittsburgh was the center of America’s thriving steel industry. By the 1980s, however, the industry and Pittsburgh were reeling from the double blow of decreasing demand for steel and competition from foreign producers.3 Approximately 200,000 jobs were lost during the decade and, as mills closed, the working-age population left the area. The economy rebounded somewhat during the 1990s with an influx of service jobs, but the number of city residents has continued to decline. From a high of 677,000 in 1950, the population of Pittsburgh dropped to 369,000 by the 2000 census.4 That population is one of the least diverse in the United States according to a report by the University of Pittsburgh Center for Social and Urban Research.5 Nearly all of the city’s residents are listed as white (69 percent) or black (28 percent). After ranking in the mid-to-high 70s for three decades, Pittsburgh’s score on the segregation index dropped from 74 to 67, according to an analysis of census data by the Pittsburgh TribuneReview.6
Distrust between the police and the African-American community dates back at least to the 1960s, but it was a series of incidents in the 1990s that eventually led to federal intervention, including changes in minority hiring practices at the Bureau of Police. The proportion of blacks and women on the force had been increasing steadily between 1975, when a district court judge issued an injunction that mandated affirmative action in hiring practices, and 1991, when the court dissolved the injunction in response to a suit by four white male applicants. When the order was revoked, the proportions of blacks and women hired declined substantially. The composition of the police force changed even more dramatically when an early retirement program in the mid-1990s led to a large number of vacancies that were filled primarily by white male officers. These changes were followed by highly publicized incidents of police use of force against African Americans, a widespread belief that complaints against the police were not thoroughly investigated, racially charged rhetoric in political campaigns, and the deaths of two black men in police custody. The anger that many citizens felt as a result of the deaths and other reports of misconduct eventually grew into a call for greater accountability.
5

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
In 1993, the local chapter of the American Civil Liberties Union (ACLU) began to express concern about the number and disposition of complaints against the police. Under a court discovery order, the ACLU was allowed to examine city files and concluded that investigations of complaints were biased and incomplete. The ACLU and the local chapter of the National Association for the Advancement of Colored People (NAACP) began to collect their own file of complaints. By 1996, the file had 400 entries and officials of the two organizations believed they saw a pattern of misconduct and a lack of management control over the behavior of police officers. The ACLU and NAACP filed a class action suit on behalf of 66 individuals who claimed that police officers had violated their civil rights, and the organizations invited the Department of Justice to examine the situation in Pittsburgh under the provisions of the 1994 law.
Investigators from the Department of Justice went to Pittsburgh in April 1996 to conduct an inquiry into police misconduct. Following its investigation, the Department sent a letter to the city in January 1997 alleging use of excessive force by the Pittsburgh police, false arrests, improper searches and seizures, failure to discipline officers adequately, and failure to supervise officers.7 City officials argued that Bureau practices were not abusive of civil rights and initially fought the allegations. But when it became clear that the Department of Justice intended to sue, the city decided to settle. Three main factors influenced the city’s decision. The first was the arrival of a new, reform-minded police chief who wanted to make changes similar to those proposed by the Justice Department. Second, city officials realized that police recordkeeping was so poor that they couldn’t adequately defend the police against the allegations. Finally, the changes the federal government was demanding would include a new database system that, among other benefits, would allow the city to produce statistics that could refute future critics of police conduct and show that police were not targeting minorities disproportionately. The City of Pittsburgh and the United States signed a federal consent decree that was filed in U.S. District Court in April 1997.
6

II. Background: Police and the Public in Pittsburgh
Implementing the Consent Decree
In the first paragraph of the consent decree, the government “alleges that there is a pattern or practice of conduct by law enforcement officers of the Pittsburgh Bureau of Police that deprives persons of rights, privileges, and immunities secured and protected by the Constitution and laws of the United States.” The Department of Justice was concerned not only that misconduct was occurring but that it was not being investigated adequately and guilty officers not routinely disciplined. The Bureau was instructed to make comprehensive changes in oversight, supervision, and training of officers, including development of a computerized early-warning system to track individual officers’ behavior; documenting uses of force, traffic stops, and searches; and training in cultural diversity, integrity, and ethics. The decree also required changes in the processing of citizen complaints, including liberalized filing procedures and more thorough investigations. A monitor, who would oversee the reforms, would report quarterly on the city’s compliance to the federal judge who issued the decree.8
City leaders resolved to comply with the decree even though they disputed its merits. The city quickly assembled a team of representatives from a broad range of agencies to meet the 90-day deadline for implementing many of the provisions of the decree. Noticeably absent from the team was the police union, which had opposed the decree.
Implementation of the consent decree required the efforts of all the players in Pittsburgh:
• The monitor. The city and the Department of Justice jointly selected the monitor. Letting the city play that major role increased local officials’ confidence in the monitor and in the process. The monitor went beyond the role as defined in the decree. He helped the city to comply rather than just evaluate its efforts. And he acted as an intermediary between the city and Department of Justice, thereby heading off potential disputes over interpretation of the decree. He shared drafts of his quarterly reports with the police chief and discussed them before they were finalized.
• The police chief. The chief was the most important figure in implementing the decree. He was committed to a reform agenda, and the decree incorporated many of the initiatives that he wished to adopt. In fact, the decree was a boon to his efforts because it allowed him to avoid the inevitable political battles with the police union over the reforms, and it ensured that the city would provide the money to carry out the reforms.
7

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
• The rank and file officers. An important part of the implementation process was gaining the trust of officers who were hurt and angry over the implication that they were bad cops and suspicious that an early warning system would be used against them. In an effort to combat their fears, the committee designing the parameters of the early warning system was expanded to include officers of all ranks. Nonetheless, according to union officials, the rank and file remained suspicious of the decree and the coming changes in the Bureau.
• The Office of Municipal Investigations (OMI). The decree made it easier to file complaints against police officers, and the number of complaints more than doubled in the first year of the decree. The city did not immediately recognize the need for additional investigators, and its slowness in increasing OMI’s budget led to a substantial backlog of complaints.
8

III. Changes Implemented Under the Decree: Bureau of Police
III. Changes Implemented Under the Decree: Bureau of Police
T he new early warning system to track the conduct of individual officers is the centerpiece of the Bureau of Police’s reforms in response to the consent decree. In addition, the decree mandated changes to the written policies of the Bureau, ranging from simple changes in wording to sweeping changes in philosophy. According to the monitor’s reports, the Bureau has been in operational compliance with all of the requirements of the decree since August 1999, and the decree was lifted from the Bureau in September 2002.
Early Warning System
The first five tasks in the consent decree center on the creation and maintenance of an automated early warning system, a management tool designed to identify officers whose behavior is problematic.9 Early warning systems are intended to highlight poor officer performance and provide a system for correcting behavior. They alert supervisors that particular officers have exceeded a predetermined threshold for such significant events as citizen complaints, traffic stops, use of force, etc. Monitoring the officers entails three phases: selection, intervention, and post-intervention monitoring.10 To date, no national uniform standards have been established for the types of data that early warning systems collect, the appropriate levels that trigger intervention, or the type of action taken. Nonetheless, a 2001 study found that such systems are gaining in popularity among police departments and that they “appear to have a dramatic effect on reducing citizen complaints and other indicators of problematic police performance among those officers subject to intervention.”11
Within a year of signing the consent decree, the Pittsburgh Bureau of Police had created one of the most comprehensive early warning systems in policing, the Performance Assessment Review System (PARS). The Bureau also instituted COMPSTAR, a quarterly meeting in which command staff discuss officers who have been flagged by PARS and take appropriate action.
9

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
The PARS System The decree required that Pittsburgh capture officer data in 14 specific categories but did not set the levels that trigger intervention, leaving those decisions to the Bureau. To set these thresholds fairly and effectively, the Bureau established a Protocol Committee made up of representatives from every rank.12 Rather than set fixed numbers of incidents to flag officers, which could have the effect of rewarding inactive officers and punishing productive officers who worked in high-crime areas, the committee recommended comparing officers with a peer group within their command and shift for many of the categories of incidents. Officers assigned to special details such as narcotics or community policing, for example, are compared with peers in those units. At the time of its creation, the concept of comparison with peers was unique to PARS. The Bureau added additional categories of data to PARS and created a system that would identify positive officer behavior as well as problem behavior, an unusual feature of early warning systems in the late 1990s. After some initial software problems and a cost of more than $1 million— paid entirely out of the city’s general budget—PARS was fully operational by the second year of the decree. In the end, the system devised in Pittsburgh far exceeded the requirements of the decree, became an integral part of the supervisory structure of the Bureau, and resulted in broad accountability within the Bureau. PARS has been expanded in the years since the decree was lifted to include four more categories of data. Table 1 shows the type of data captured and reported by PARS.
10

III. Changes Implemented Under the Decree: Bureau of Police
Table 1: Data collected by the PARS early warning system, decree and post-decree.
Accidents Arrests1 Awards, Commendations, Recognition1 Citizen Complaints1 Civil or Administrative Claims Arising from Official Duty1 Civil Claims Regarding Domestic Violence, Untruthfulness, Racial Bias, or Physical Force1 Criminal Investigations of Officers1 Disciplinary Action1 Discretionary Charges Filed By an Officer1 Lawsuits Mandatory Counseling1 Missed Court Appearances Officer Involved Shootings, Both Hit and Non-Hit1 Sick Time Traffic Stop Data1 Use of Force1 Warrantless Search and Seizures1 Excused Absences, Absence Without Leave, and Suspensions1 *Secondary Employment2 *Worker’s Compensation Claims2 *Weapon Discharges *Vehicle Pursuits2
*Data collected post-consent decree 1Mandated by the consent decree 2Performance indicators still in planning phase
The system works in a simple manner. Each day before roll call, supervisors log into PARS and view a screen that contains “alerts” and “notifications.” The alerts feature lists any officer for whom a critical incident, such as a car accident or civilian complaint, has been recorded. This does not mean that the officer has reached the level of incidents that requires intervention; it just gives the supervisor a chance to counsel the officer informally before any specific action is taken. A notification is information transmitted from the command staff or senior supervisors. It outlines instructions the line supervisor is to carry out, such as observing an officer’s performance or taking corrective action. Senior supervisors can track the line supervisor’s compliance with the notification, thereby adding an atmosphere of accountability within the department. The supervisor then sees a list of officers who have been flagged by PARS. These are the officers that the supervisor must observe and assist with any retraining.
11

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
Through the PARS system, the Pittsburgh Bureau of Police has changed the duties of the first-line supervisors substantially. They are now expected to perform many of their traditional duties (e.g., making arrests, answering calls for service) while fulfilling the new duties associated with PARS and the consent decree. Reaction to the change is explored in Section IV of this document.
COMPSTAR
The true impact of PARS is seen in the Bureau’s COMPSTAR meetings, quarterly command staff meetings that focus on personnel management. Each zone commander makes a presentation of aggregate performance data for the zone, explaining any significant increase or decrease in activity since the previous meeting. Then the group turns to individual officer performance, discussing those who have been flagged by PARS in detail. Commanders present PARS data for each officer flagged in the current quarter and attempt to offer a more complete picture of that officer’s performance. The commander might note, for example, that an officer was assigned to a special unit instructed to issue summonses, which would explain why he was flagged for issuing a far greater number of summonses than his peers. The decision on whether intervention is necessary rests ultimately with the chief, but in most cases he follows the recommendations of the zone commanders. The meeting then turns to officers flagged in a previous quarter who are still undergoing intervention and monitoring. After describing the type of intervention and the officer’s response, the commander makes a recommendation either to continue or to end the monitoring.
After each presentation, all commanders can contribute ideas and voice concerns, sharing information and opinions about individual officers. These conversations are especially important in an environment where restructuring and transfers have resulted in many new duty assignments. The federal monitor, who regularly attended COMPSTAR meetings, noted in one of his reports that “some [officers] showed marked improvements.”13
Observations and interviews conducted in the post-decree period indicate that the Bureau of Police remains fully committed to the use of PARS and COMPSTAR in its day-to-day management process. PARS continues to grow in scope and complexity, and COMPSTAR continues to ensure that officers flagged by PARS are thoroughly scrutinized.
12

III. Changes Implemented Under the Decree: Bureau of Police
Policy Changes The consent decree mandates changes to the written policies of the Bureau of Police. The decree sought to ensure adequate reporting of critical incidents such as police-involved shootings and to establish a system by which these incidents are reviewed. Toward this goal, the decree requires the creation of several new reports. It also calls for implementation of a new use-of-force policy and spells out a detailed strip-search policy that the Bureau was required to adopt.
Use of Force. The Bureau’s policy detailing the circumstances in which officers could use deadly force was already well within the law and professional standards. It was, in fact, quite conservative and restrictive. The consent decree required changes in the reporting of lethal and lessthan-lethal force and the process by which use of force is reviewed by supervisors. To meet this new requirement, the Bureau changed its policy to include reporting of less-than-lethal force. It created the Subject Resistance Report that captures both use of force by police officers and the level of resistance on the part of the subject in one document and is completed each time an officer uses force during an incident. Supervisors up to the zone commander are mandated to review each such report. The new policy has added to the paperwork each officer must complete and, according to one report by the federal monitor, has led to an “apparent under-use of force on the part of the officers” in multiple instances.14
Search and Seizure. The consent decree required changes in the Bureau’s policy pertaining to strip searches. Under the decree, they are performed only with the authorization of a supervisor and are conducted by specially trained, same-sex personnel in a room specifically designed for that purpose. Field strip searches are carried out only when human life may be at risk. The Bureau responded by creating the Field Contact/ Search/Seizure Report, which exceeds the requirements of the decree by capturing information about all searches, seizure of any property, and field interviews of persons stopped by the police. These reports are examined by supervisors to make sure that all actions were justified and carried out according to proper procedure.
Traffic Stops. In response to requirements of the consent decree, the Bureau created the Traffic Stop Report that documents pertinent demographic information about the driver and passengers of vehicles stopped by police as well as the results of any searches. It also trained officers in the use of Verbal Judo, a technique for effectively handling interactions with citizens during traffic stops.
13

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
Like the information on use of force and search and seizure, the traffic stop data is entered into the early warning system, which compiles aggregate data for each zone and flags officers with numbers of incidents that differ widely from those of their peers. Incident forms continued to be required and are closely monitored after the consent decree was lifted.
Training. While most of the changes resulting from the consent decree related to collection and analysis of officer performance data, the training of officers also changed. The decree includes several requirements related to training in the areas of cultural diversity (including skills necessary to “relate to persons from different racial, ethnic, and religious groups and persons of the opposite sex”), verbal de-escalation, and supervisory skills. It also requires that officers are instructed in the complaint investigation process. New recruits are to receive training shortly after being hired, and current officers are instructed in these skills once a year as part of their in-service training. To comply quickly, the Bureau initially contracted with private organizations to conduct the trainings. The changes were implemented as required, and the Bureau was in full compliance for training by the second year of the decree.
The training reforms remain in effect in the post-decree era, and all mandated programs continue. The training commander reports that a large part of the program is devoted to remedial training for officers who have been identified by the PARS early warning system. This one-on-one training directly tailored to the individual officer can be time-consuming and costly. Fiscal pressures have forced the Bureau to develop its own in-house training based on the lessons learned from outside experts and to seek alternative sources of education such as a forum entitled “Community Problems and Problem-Solving” presented by the Department of Justice Office of Community Oriented Policing Services.
Inspection Unit. As part of his work to ensure compliance with the provisions of the consent decree, the federal monitor created an inspection team at each duty location. An assistant chief, a lieutenant, a police officer, and the monitor inspected locker rooms, bulletin boards, and personnel files in each police zone quarterly. They checked to see that required materials such as Office of Municipal Investigations (OMI) brochures were available and made sure that no inappropriate or obscene material was present. They also randomly audited 20 percent of the personnel files to make sure that all required reports (supervisor’s daily activity reports, performance evaluations, OMI complaint files) were in the file. In the post-decree period, the Bureau has absorbed the inspection unit into its
14

III. Changes Implemented Under the Decree: Bureau of Police
management program and follows the monitor’s schedule of quarterly inspections at all duty locations. Where deficiencies are found, they are brought to the attention of the commanding officer of the zone and usually are remedied within a day. Rotation. The consent decree states that the city “shall develop and implement a rotation schedule that ensures that officers regularly are supervised by and work with different officers.” The Bureau decided to comply with the requirement by transferring a quarter of supervisors and 20 percent of officers annually. This has been one of the most unpopular policy changes with the police union, which argues that the transfers reduce officers’ knowledge of the area they are patrolling and discourage bonds between officers and community residents, two basic tenets of community policing. All of these changes implemented by the Bureau of Police remain in effect and have had an impact on the daily work of its personnel. How line officers and supervisors react to and accept the changes will affect the long-term success of the reforms.
15

IV. Has the Decree Affected the Way Officers Approach Their Jobs?
IV. Has the Decree Affected the Way Officers Approach Their Jobs?
R esearchers began their interviews and focus groups with police officers and supervisors already knowing that many believed the consent decree wasn’t necessary and that they resented both federal intervention and their exclusion from the negotiations leading to the degree. While some Bureau personnel—mainly supervisors—had some positive things to say, the comments of both officers and supervisors were overwhelmingly negative during the first round of interviews in the fifth year of the decree. They said that the decree had substantially lowered officer morale and productivity and that officers were afraid of having to use force that the command staff would perceive as unjustified. They disliked the new complaint procedures that allowed citizens to file complaints anonymously. Patrol officers complained that the multitude of new forms required by the decree were time-consuming and confusing while supervisors said that their time in the field was being reduced by the demands of the early warning system. These results may have been somewhat skewed because the Bureau did not permit a written survey. Participation was voluntary and some officers spoke little; therefore, it is possible that the voices of only the most disaffected officers were heard and recorded.
When researchers returned to Pittsburgh in the year after the decree was lifted from the Bureau of Police, they again interviewed officers and supervisors, but with two additional tools for assessing their views: an anonymous written survey that the Bureau now approved, and a separate focus group for African-American officers who previously spoke little when they were in focus groups with white officers. The reaction to the reforms among officers in the general focus groups continued to be overwhelmingly negative. But the survey and the African-American focus group generated a somewhat more balanced view of the decree and the reforms that resulted from it.
17

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
Focus Groups and Interviews
There were some positive responses to the consent decree in its fifth year, primarily from supervisors. All the supervisors interviewed said that the decree had led to better and more frequent training. Supervisors said they thought the idea of an early warning system could benefit the Bureau, and one supervisor saw the requirement for new incident reports as “a good thing” that “makes officers explain their actions in detail.” By the second round of focus groups, there was some indication from supervisors—but not from officers—that the accountability procedures were becoming accepted as part of the job of Pittsburgh police officers and that the reforms had forced the Bureau to take action on problem officers rather than just “move the problem” by transferring the officers. Some supervisors also said that the decree had led to better record keeping and improved access to information. But, as noted above, the general reaction to the reforms was negative from both supervisors and officers.
Low morale was the dominant theme in both sets of focus groups. Supervisors complained about the demands that the reforms placed on their time, leaving them fewer hours for street supervision. Officers and supervisors complained about the amount of paperwork required by the new accountability mechanisms. Officers objected to the mandatory transfers that had been instituted. As one officer said, this produced a force that “doesn’t know the streets, neighborhood problems, or local perpetrators.” Officers reported that fear of being flagged by the early warning system and subjected to disciplinary action made them less effective in their jobs: generally less proactive, overly cautious in the use of force, and less likely to make traffic stops (especially of African Americans). Several officers said that they now received disciplinary action reports for such infractions as forgetting to turn in a traffic stop report or filling out a report incorrectly when they previously would have had an informal talk with a supervisor. The consent decree does not establish levels of discipline, but officers expressed the opinion that “lots more” disciplinary action reports were being given out since PARS came into being.
18

IV. Has the Decree Affected the Way Officers Approach Their Jobs?

The Written Survey

Pittsburgh officers and supervisors who worked the second shift in all city zones participated in a written survey on November 10, 2003, more than a year after the consent decree had been lifted from the Bureau of Police. A researcher addressed each roll call, telling the officers that the survey was part of an effort by the U.S. Department of Justice to determine how the consent decree had affected policing in Pittsburgh, that the survey was anonymous, and that results would be reported only in aggregate. Only seven officers refused to complete the survey. The 129 officers who participated represent about one-sixth of the force.15

Survey results echoed themes from the focus groups. Both methods revealed strong officer resentment of the reforms introduced under the consent decree. While officers tended to agree that the reforms had brought about significant change, many viewed the change in negative terms, claiming that fear of consequences made officers less proactive and less willing to engage the public and that increased paperwork made them less efficient. At the same time, however, a majority of officers agreed that the reforms had increased accountability and that central review of officer actions could have positive consequences. Figures 1 through 5 show some of the questions asked in the survey and the tabulated results.

Figure 1: Did programs introduced under consent decree affect officer job performance?

100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0%

TYPE OF CHANGE • Officers less active (n=42) • Officers less efficient (n=31) • Improved performance (n=2)
61%
24% 14%
No change Minor change        Major change

19

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree

Figure 2: Did programs introduced under the decree change how officers interact with citizens?

100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0%

TYPE OF CHANGE • Officers interact less with citizens (n=31) • Officers more circumspect in dealing with
citizens (n=6) • Officers more professional with citizens (n=6)
42% 39%
19%
No change Minor change        Major change

Figure 3: Did new programs introduced under the decree increase
100%

80%

60%

54%

40%

36%

20%
11%

0%

    Less

Minor change        Major change

           Accountability

       Accountability

20

IV. Has the Decree Affected the Way Officers Approach Their Jobs?

Figure 4: Did new programs introduced under the decree affect the degree to which officers take a proactive approach to their jobs?
100%

80%

79%

60%

40%

20%
0%     Less
           Accountability

10%
1% Minor change        Major change
       Accountability

Figure 5: The programs introduced under the decree mandate that central administrators as well as local supervisors review
officer behavior. Do you view that as a positive or negative development?

100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0%

• Identifies problem officers (n=21)
• Officers need supervision (n=15)
46%
Positive

• Adds unneeded layer of scrutiny/usurps role of first line supervisors (n=24)
• Review not fairly conducted (n=15)
54%
      Negative

21

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
When asked if the were ways in which the Bureau’s response to the consent decree could have been improved, 72 percent of the officers answered affirmatively. The most common response was that the Bureau should have fought harder against the decree and involved officers in the settlement. Other responses included addressing morale problems, reducing the amount of paperwork associated with the reforms, and doing a better job of educating officers about the decree.
The Perspectives of African-American Officers
The focus group conducted with nine African-American officers revealed that while black and white officers may have shared some of the same experiences since the signing of the consent decree, historically they have very different frames of reference. The African-American officers described a pre-decree atmosphere in which they experienced reprisals for speaking up, that certain white officers were protected, and that AfricanAmerican officers were not welcomed socially by fellow officers.
The African-American focus group was more sympathetic to the concerns of the black community that had led to the decree and, overall, was far more positive about the decree than the groups dominated by white officers. The officers praised the decree for leading to increased accountability and community awareness and raising the level of professionalism within the Bureau. While many white officers objected to the impersonality of the new centralized review system, African-American officers welcomed that aspect of the process. One said that prior to the decree, “There was no discipline for white officers. It’s only recently that the discipline has come down on both white and black officers.”
Despite these positive comments on the decree, these officers, like their white colleagues, were concerned that the new accountability procedures resulted in micromanagement and left officers little room for discretion or decision making. They also agreed that officers were less proactive and less likely to intervene in situations with the public for fear of being flagged by PARS or having complaints filed against them.
22

IV. Has the Decree Affected the Way Officers Approach Their Jobs?

Looking at Trends in Police Performance

It was difficult for researchers to confirm or negate the claims and opinions of officers. Data on police use of force and search and seizures were not collected before the consent decree was signed. Other data were available on a limited basis, but those data tended to refute some of the officers’ claims.

For example, actual figures for disciplinary action reports show a decline in the years immediately following the decree (Figure 6).

Figure 6: Pittsburgh Bureau of Police Disciplinary Action Reports, 1995 through 2003.

160

140 145 146

120

100

80

85

60

92 82

114

100

86

90

40

20

0 1995 1996 1997 1998 1999 2000 2001 2002 2003
*According to the Bureau of Police, disciplinary actions rose in 2001 when the Bureau was able to determine if officers involved in accidents were violating the seat belt law.

If the decree had had a serious negative effect on police morale, it might be evident in the number of sick days taken by officers. But a decline in sick days per officer that began in 1995 continued through 1999 and was not affected by the signing of the decree in 1997.
Other data show a decline in traffic summonses as a result of changes in court procedures in the year before the consent decree. There is no evidence of a further decline during the period of the decree.
In the matter of public safety, crimes reported to the police and homicides show a substantial and sustained decline over time both before and after the consent decree. Although arrests by police declined between 1994 and 2000, that drop mirrors the drop in reported crimes. The proportion of African Americans among arrestees declined somewhat during the years of the decree. This decline, while small, may suggest a hesitation by police officers to arrest African Americans, or it may indicate that officers were overly willing to arrest them before the consent decree was in place.

23

V. Changes Implemented Under the Decree: Office of Municipal Investigations
V. Changes Implemented Under the Decree: Office of Municipal Investigations
O ne of the principal arguments in the lawsuits that preceded the consent decree was that complaints against the police were not investigated fully. The Office of Municipal Investigations (OMI) investigates citizen complaints against all city employees, but complaints about police officers and police practices constitute the majority of its workload. OMI is a combination civilian review body and internal affairs office, and it employs both civilians and police personnel as investigators. The consent decree made it much easier for citizens to file complaints against police officers. Within a year, the annual average number of complaints had jumped from 300 prior to the signing of the decree to 800, creating a substantial backlog of pending cases. The decree also required that the investigative process be far more thorough and that each step of the process be extensively documented. The city was slow to recognize that the demands of the decree would require a substantial increase in the OMI’s investigation staff and budget. Although the decree was lifted from the Bureau of Police in September 2002, it remained in effect for OMI. At that time, the court modified the remaining decree by removing 25 requirements and adding eight tasks that specifically addressed concerns about OMI. Recognizing that significant changes still had to be made, city officials appointed a police commander as interim director of OMI to serve until the agency was clearly on the road to compliance. It was his efforts to streamline the complaint review process and demand accountability from investigators—along with the monitor’s active role in training staff—that allowed OMI to reach full compliance in August 2003 and for the decree to be lifted in April 2005.
Staffing Issues
The consent decree mandates that OMI be “adequately staffed” but does not set specific levels of staffing. During the first 5 years of the decree the city increased the number of OMI investigators, 10 of whom focused solely on Bureau of Police cases, but the backlog continued to grow. Among the new tasks that the court set for OMI in 2002 was to increase staffing levels to at least 16 investigators assigned to police complaints and to eliminate the backlogged cases by February 28, 2003. The interim director calculated that it would take six additional staff to clear the backlog in the time frame set by the court; therefore, six additional staff were borrowed from the Bureau of Police. With the new, trained staff, investigator caseloads that had been as high as 18 or 19 cases were reduced to an average of seven.
25

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
Training
The decree set minimum requirements for the training of all OMI investigators. It requires that they attend police academy training in policies related to use of force, searches and seizures, pursuits, transporting individuals in custody, restraints, arrests, traffic stops, racial bias, report writing, cultural sensitivity, ethics, integrity, professionalism, and investigative and interview techniques. Civilian investigators are to attend police academy classes on these topics; OMI investigators who are police officers fulfill the requirement by graduating from the academy. In addition, it is OMI’s policy to send investigators to in-service training, either to refresher courses or training in newly created policies and practices. This training regimen equals and sometimes surpasses national standards for complaint investigation authorities.
Complaint Intake
OMI’s complaint intake policy was completely revamped as a result of the consent decree. Prior to the decree, OMI accepted only complaints filed in person by the victim within 90 days of the alleged incident. The consent decree mandated that complaints could be filed by telephone, mail, or fax as well as in person. The decree also mandated that OMI accept and investigate anonymous and third-party complaints.16 These new policies bring OMI in line with accepted national standards for complaint intake.
Processing of Complaints
OMI policy prior to the consent decree required completion of all investigations within 60 days of the filing of a complaint. The decree made no recommendations about the length of investigations, requiring only that OMI “aggressively” investigate all complaints. Once under the decree, however, OMI voluntarily changed its policy to completion within 90 days to allow more time for collecting data and interviewing witnesses. The length of investigations was again increased to 120 days following expressions of concern from the monitor that proper investigations sometimes need more than 90 days.
The decree required that OMI create and maintain a written manual detailing its policies and investigative procedures. OMI incorporated the many changes required by the decree into its revised manual, which is available for public review. The interim director appointed in 2002 developed several new investigation reports. He required investigators to submit daily activity reports and biweekly reports detailing the status of
26

V. Changes Implemented Under the Decree: Office of Municipal Investigations
each case and progress made since the preceding report, and he brought in the monitor to show staff members how to improve the quality of their reports. In addition, he developed a weekly report from the automated information system that lists cases closed and the number and age of open cases for each investigator.
In the case review process, the director must sign all completed investigations. Under the previous system one staff person reviewed all the investigations for thoroughness before giving them to the director—a process that took an average of 6 weeks. The interim director eliminated the bottleneck represented by the preliminary review, and now the director reviews all cases himself.
Disposition of Complaints
The interim director improved consistency of findings by clarifying for investigators the meaning of OMI’s various dispositions. The agency currently can make one of four possible dispositions for complaints: • sustained, meaning that the investigation showed that allegations
of misconduct were supported by facts and represent a violation of department rules • unresolved, meaning that allegations cannot be proved or disproved • exonerated, when the investigation shows that police personnel acted with the guidelines of their authority • unfounded, when allegations are determined to be false or inaccurate.
OMI Comes into Compliance
The backlog of cases was eliminated on February 27, 2003, one day before the deadline. After some additional cases were included in the backlog, all were cleared as of August 2003 (Figure 7). The monitor reported an increase in the substantiation rate, which he attributed to a positive change in the quality of investigations. He noted that in the sixth year of the decree cases took an average of 109 days to investigate, falling within the agreed-on 120-day limit. By resolving the backlog of complaints, OMI was able to begin clearing more complaints than it received. In his May 2003 report the monitor wrote that “the city has, finally, developed an Office of Municipal Investigations staffing and process function that has allowed the office to fulfill its responsibilities of fairly and impartially investigating allegations of police misconduct.”17
27

2/98 8/98 2/99 8/99 2/00 8/00 2/01 8/01 2/02 8/02 2/03 8/03

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
Figure 7: Received versus Cleared Complaints by Year (1997–2003).
300
250 Cleared
200 Received Linear (Received) 150 Linear (Cleard)
100
50
0
YEAR Source: Electronic database provided by City of Pittsburgh, CIS, and calculations by the monitor.
Challenges for OMI
The monitor had expressed concern during the interim period about whether OMI’s ability to judge police behavior had been compromised by the appointment of a police official as director and six new police officers as investigators. In September 2003, the city returned control of the agency to a civilian, the former acting director of the city’s Public Safety Office.
Maintaining impartiality in the investigative process is one of the crucial challenges facing OMI. With nine police personnel and six civilian staff, the investigations cannot be characterized wholly as civilian-reviewed or independent. Officers rotate in and out of OMI. As a result, they are likely to know some of the officers accused of misconduct and/or may work with accused officers after their stints at OMI. Under these circumstances, it would be possible for biases to creep into investigators’ decisions.
The consent decree did not require OMI to produce an annual report or to publish statistics on complaints. Information from the monitor’s quarterly reports was made available to the public by the interim OMI director and by the American Civil Liberties Union, but it is unclear whether OMI will produce its own reports once the monitor leaves. Community groups have made a formal appeal to the mayor and police chief to permit access to
28

VI. Community Views on the Consent Decree and Its Impact on Policing
VI. Community Views on the Consent Decree and Its Impact on Policing
T he community has been a major stakeholder in the outcome of the consent decree from the beginning. Concerns about police brutality and misconduct led to the lawsuits that ultimately resulted in the consent decree. Public confidence in policing, therefore, is an important yardstick by which the decree’s success should be measured.
The research explored the views of the community from perspectives of community leaders and city residents during the fifth year of the decree and again in the year after the decree was lifted. Community leaders who had a keen interest in and involvement with police reform in Pittsburgh were asked a series of questions about the consent decree and its effect on community-police relations. Ten leaders participated in the first round of interviews and twelve in the second round. In each instance, eight were African American, and six were women. Researchers also conducted two telephone surveys of residents who lived in the Bureau of Police’s Zone 2. This zone was selected because it had roughly equal numbers of white and African-American residents, which made possible direct and reliable comparisons between the views of the two groups.
The Perspectives of Community Leaders
Community leaders stressed that until the signing of the consent decree, there was a lack of public accountability in the Bureau of Police. They cited examples of illegal searches, harassment, verbal and physical assault, and deadly use of force as examples of police misconduct. A number of the leaders pointed out that Pittsburgh, like many urban areas, had been grappling with a past characterized by racism and segregation—a past that the consent decree alone could not address. Still, community leaders initially viewed the consent decree with hope. They saw it as a progressive tool to increase accountability and improve police practices, and they perceived a commitment to change within the police administration. Several expressed confidence in the chief, noting that, “he cares about standards and accountability.” The federal monitor also received high marks for his efforts to implement the decree.
29

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
Bureau of Police. In the year after the lifting of the decree from the Bureau, community leaders acknowledged that the Bureau had made several key changes as a result of the decree and appeared to be “more diligent in monitoring behavior.” They felt that the relationship between the community and police was less antagonistic, and that the Bureau remained committed to the goals of the decree even after it had been lifted. To be sure, the leaders still had concerns about policing. One worried that there might be backsliding without federal monitoring; another argued that the reforms were aimed only at the rank and file and that accountability among high-ranking administrators had not improved. Several spoke out in favor of greater diversity within the ranks. According to one, “black cops need to be supported.”
A number of the community leaders lamented that the Bureau did not make public any information on use of force, traffic stops, search and seizures, and other police activities. Under the decree, these data had been made available to the monitor and were included in his quarterly reports. One leader argued that with racial profiling a significant issue, the Bureau should be especially sensitive to requests to release data to quell fears of the American-American community. The efforts of a civic group to obtain aggregate data on police performance have so far been unsuccessful.
Office of Municipal Investigations (OMI). While community leaders acknowledged the progress made by OMI, many expressed a concern about the ability of a city agency staffed mainly by sworn officers to make impartial determinations. Lack of transparency was a significant concern about OMI, as it was about the Bureau of Police. Leaders pointed out that “OMI never published any reports.”
The Perspectives of Pittsburgh Residents
The initial survey in the fifth year suggested that Pittsburgh residents were generally positive about the idea of the decree, even if they had somewhat mixed views on the changes and nature of policing under the decree. African Americans were consistently less optimistic than whites about how much policing had changed, a finding that is consistent with surveys in other U.S. cities. About half (47 percent) had heard of the consent decree, with only a small minority of them having a detailed understanding of the requirements of the decree. But when the decree was described to all respondents, 84 percent said it was necessary to improve the quality of policing.
30

VI. Community Views on the Consent Decree and Its Impact on Policing

Researchers created an updated version of the initial survey to assess changes in public perception of the police since the lifting of the decree. Many of the 32 questions were identical to those used in the earlier survey and assessed police performance in such areas as fairness, effectiveness, visibility, and responsiveness. In each case, telephone interviews were conducted with more than 400 randomly selected residents of Zone 2.

Responses changed significantly between surveys on only three questions. Perceptions of the ability of the police to fight crime and the thoroughness and fairness of complaint investigations were both lower in the second survey (Figures 8, 9, and 10). A significantly greater number of respondents reported being treated well when stopped by the police.

Figure 8: Percentage of respondents reporting that the Pittsburgh Bureau of Police is doing a very good job or somewhat good job of
fighting crime.

100%

90%

80%

70%

60%

30

25

14 50%

40%

21

15

7

Very good job
Somewhat good job

30%

46

48

46

20%

41

56

49

10%

0%

Blacks Whites

2002

2002

Total 2002

Blacks 2003

Whites 2003

Total 2003

31

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree

Figure 9: Percentage of respondents reporting that the authorities in Pittsburgh do a very good or reasonably good job of thoroughly and
fairly investigating complaints against police officers.

100%

90%

80%

70%

60%

50%

13

40%

10

30%

4

42

36

20%

27

10%

A very good job
A reasonably good job 9

7

3

44

33

21

0%

Blacks Whites

2002

2002

Total 2002

Blacks 2003

Whites 2003

Total 2003

Figure 10: Percentage of respondents reporting they were treated very well or reasonably well when approaching the police.

100%

90%

80% 70% 60% 50% 33 40%

45 50

Very well

Reasonably

43

well

55

29

30%

20% 36

29

31

10%

31

33

21

0%

Blacks Whites

2002

2002

Total 2002

Blacks 2003

Whites 2003

Total 2003

32

VI. Community Views on the Consent Decree and Its Impact on Policing

There was little change on other questions. Citizens in both surveys held high opinions of the police in the areas of fairness/courtesy and responsiveness, but a majority believed that whites received better treatment from the police than African-Americans. About a third reported improvement in terms of excessive uses of force, but nearly half believed that the police used excessive force at least some of the time.

To assess whether opinions about police effectiveness—particularly about police misconduct—were overstated by people who had not had first-hand experience with the police, researchers separated out those respondents who had had either a voluntary or involuntary contact with the police within the past 2 years (Table 2). The results do not indicate a significant difference in opinions between those who had experience with the police and those who did not.

Table 2: Opinions of Police Misconduct in Pittsburgh for those who have had experience with the police in the past 2 years.**

No Experience

Experience in past 2 years

Major

Minor

No

Major

Minor

No

problem problem problem problem problem problem

Stopping people without good reason

26.5%

28.4%

31.8%

30.7%

38.0%

27.3%

Using offensive language

17.5%

24.2%

39.3%

19.0%

32.7%

40.0%

Being verbally or physically abusive

30.3% 28.4% 28.4% 36.6% 33.2% 24.9%

**Experience was defined as those people reporting that they have called the police or had been stopped by the police within the previous 2 years.

In both surveys the harshest criticism was reserved for the Office of Municipal Investigations. Only about one in three respondents believed it would be easy to file a complaint against an officer in Pittsburgh or that OMI investigations were thorough and fair.

33

VII. Lessons Learned
VI. Lessons Learned
T he overarching questions in Pittsburgh were: Can a reform process imposed on a local jurisdiction by a federal court succeed? And if so, could that process continue after the federal court withdrew? The simple answer to both questions is “yes.” It is clear that the requirements of the consent decree dramatically changed the culture of the Bureau of Police. It is also clear that the reforms remained in full force more than a year after most requirements of the decree were lifted. Officers and supervisors are accountable for their interactions with the public in a way that is qualitatively different from the situation that existed prior to the decree. Although officers continued to express resentment toward the city for agreeing to the decree, many acknowledged that the reforms did, in fact, increase police accountability. Administrators now have a powerful tool to monitor officer productivity as well as misconduct.
The Office of Municipal Investigations, which had lagged in adopting reforms under the decree, finally came into compliance. Under the guidance of a new director, a new information system was installed, case review procedures were streamlined, and the backlog of cases was eliminated.
What Positive Lessons Can Other Jurisdictions Learn from Pittsburgh?
(1) The importance of a quick and unified city response to the decree and an embrace of the reforms by city officials.
• Once city officials decided to sign the decree, they were able to put personal feelings aside and focus on bringing the city into compliance. The implementation committee, with the monitor’s help, did a good job in outlining the areas where changes would need to be made.
(2) The determination of the police chief to make the decree part of his own reform agenda.
• Part of the reason that city officials agreed to settle with the Department of Justice was that they were able to influence what went into the decree. For a new police chief with an interest in reform,
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Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
this was a good opportunity to push his agenda forward. The consent decree made it easier to get funds from the city for reforms and helped to neutralize potential union objections. Once the decree was signed, the chief made it quite clear that the Bureau would be in compliance and thereby set the tone for the Bureau’s effective response to the requirements of the decree.
(3) The critical role of the court-appointed monitor.
• The selection of the monitor by city and Department of Justice officials was a critical choice and, by all indications, the successful candidate facilitated the reform process. The monitor played an early, vital role after the signing of the decree by helping officials to develop a plan of action. He produced a compliance manual that gave city officials an exact idea of what milestones he expected them to achieve at each stage to meet his standard of compliance. His early meetings with community leaders helped reassure them that real reform was afoot. He developed a relationship with city officials that was more collaborative than adversarial, making it easier for them to accept some of the more difficult terms of the decree.
(4) The development of an early warning system to meet the needs of the city: Pittsburgh’s went well beyond the demands of the decree by tracking sick time, accidents, and positive officer behavior as well as misconduct.
• The consent decree required that the city track certain types of incidents that indicated potential problems arising from officer interactions with citizens. But the system the city developed incorporated not only data required by the decree but also performance data that allowed command staff to monitor officer productivity and effectiveness. The use of deviations from the performance of peers was an innovative approach to determining which officers were flagged.
(5) The development of an innovative, quarterly command staff meeting to review and act on information from the early warning system.
• The effectiveness of the early warning system was cemented by the development of quarterly COMPSTAR meetings. These meetings, attended by command staff, ensure that each commander is publicly accountable for decisions he or she makes on each officer indicated by the system.
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What Might Have Been Improved in Pittsburgh
(1) Quicker realization of new demands on investigation of civilian complaints.
• While the city was quick to realize and respond to the new demands on the Bureau of Police, it was slower to respond to the needs of the Office of Municipal Investigations. Predictably, OMI saw the number of complaints rise and the time to investigate cases increase substantially as a result of the decree. Yet there was no immediate move to add staff to cope with the greatly increased workload.
(2) Better efforts to gain rank and file buy-in to the reform process.
• Interviews with both officers and supervisors disclosed alienation and claims of less willingness to engage the public. The disengagement of the rank and file from the reform process began at the outset when Justice Department investigators did not include police officers or union representatives among the persons they interviewed. The centralized review of officer actions and encouragement of anonymous citizen complaints incorporated in the decree proved to be highly unpopular with officers. Rank and file disengagement continued when the union chose not to take part in formulating the city’s response to the decree.
The police and command staff clearly made an effort to educate officers and supervisors about the decree and to defuse the notion that it would be detrimental to them. But judging from focus groups with officers and supervisors, these efforts were not highly successful. Officers remained resentful of the decree and worried about being disciplined or receiving a citizen complaint for good-faith enforcement actions. While trend data refuted some of the more serious officer claims about reduced morale, officer activity, and public safety, the fact that these perceptions persisted was a continuing challenge for the Bureau.
(3) Better efforts to involve the community in the reform effort and to coordinate implementation of the decree within the framework of community policing.
• While the Pittsburgh reforms were very successful in meeting the demands of the consent decree, they were not implemented with an eye toward promoting the community policing model that has been widely accepted both in the U.S. and abroad. Indeed, the reforms were internal to the Bureau of Police and largely did not engage the

VII. Lessons Learned

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Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
community that had agitated for change. The decree was perceived positively by community leaders, who expressed a good deal of faith in the chief’s commitment to reform. But they remained skeptical that a true sea change in accountability of officers and supervisors had occurred, partly because little information about the city’s progress in complying with the decree had been shared with the community. Many citizens were not aware of the decree, and many African-American citizens remained unconvinced that police abuse had lessened under the decree. Community leaders acknowledged that the relationship between the community and police had become less adversarial, but most of those interviewed felt that the city would have been better served had the decree mandated more open reporting of misconduct and disciplinary actions by the Bureau and by the OMI.
In some ways, the decree and the reforms it spawned were even antithetical to key tenets of community policing. For example, the policy of frequent officer rotation made it harder for officers to get to know the communities in which they worked and harder to build trust among residents. Centralizing accountability discouraged egregious officer behavior but ran counter to the community policing notion of placing more responsibility at the command and unit levels. There are no easy answers to the question of how better to scrutinize officer behavior while at the same time allowing officers to be effective decision makers, but it is a problem that the Department of Justice must confront as it considers how to promote meaningful change at the local level.
Last Reflections on the Reform Process in Pittsburgh
It would appear that the Department of Justice was correct in betting that pattern or practice suits could bring about substantial reforms in a short time and that the reforms would survive the life of the decree.
The essential aim of the decree was to change the way in which police officers deal with citizens. Routine interactions between police and citizens seldom can be monitored directly by supervisors or administrators. Therefore, the decree sought to change officer behavior by redesigning “management systems for training, misconduct investigations, supervision, and discipline.” Because record-keeping was so poor in Pittsburgh before the decree, it is difficult to assess the effectiveness of reducing misconduct by changing training programs and accountability systems. Researchers
38

could not say whether citizen complaints or use of force declined after the decree was signed because pre-decree data were not available. Citizen surveys and interviews with community leaders suggest that change in police conduct did occur over the course of the decree, but the evidence is not definitive because there was no pre-decree community survey.
There were strong hints that the decree’s intent to radically change management systems resulted in unintended effects as well. According to police officers, morale sunk dramatically. Officers said they retreated from unnecessary contacts with the public because they feared abuse of the liberalized citizen complaint procedures. Officers said they avoided being proactive in their work because they feared they would be disciplined for filling out forms improperly or be flagged by the early warning system. Officers complained of duplicative paperwork and supervisors complained about reduced time on the street because they had to gather extensive data on numerous indicated officers for each COMPSTAR meeting. There is no independent proof of these undesired effects and, indeed, as noted previously, police data call into question some of these assertions. But the fact that these opinions were voiced so many times in different forums suggests that there is some basis to them.
Many of the unintended effects of the decree on officers are tied directly to the new management systems that the decree required. Essentially, the reforms took responsibility and flexibility away from the individual commands and created a centralized review structure. Although the decree does not require limiting the authority and responsibility of line supervisors, compliance with proper completion of the new forms was reviewed centrally and decisions about discipline were either made or reviewed centrally.
This centralized approach to identifying and responding to officer misconduct makes good sense in the wake of allegations of civil rights violations on a level that triggers federal intervention, but the approach runs counter to the other major police reform of the past two decades: community policing with its emphasis on engaging local communities in setting standards and monitoring police conduct. Researchers did not find substantial efforts in Pittsburgh to engage community residents and organizations or to give them a defined role in assuring the proper functioning of the Bureau of Police. Nor did they find citizen councils that help set police priorities in Pittsburgh. The centralized accountability model that was adopted in Pittsburgh also runs counter to another tenet of community policing—allowing local commanders and even line officers more responsibility and discretion in their work.

VII. Lessons Learned

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Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree Whether the notions of centralized accountability practices demanded by consent decrees and decentralization of decision making entailed in the community policing philosophy can be reconciled is an open question. The challenge going forward will be to develop a consent decree model that incorporates the advantages of community policing while monitoring officer behavior and holding officers accountable for wrongdoing. In Pittsburgh, local policing is again a local matter, but its future may depend as much on the engagement of citizens and police supervisors as it does on senior management’s ability to sustain the procedural improvements put in place over the past 6 years.
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References
Blakely, C. R. “The Effects of the Duran Consent Decree.” Corrections 		 Today (February 1997).
Gibbs, A. “Focus Groups.” Social Research Update (Guildford, England: 		 University of Surrey, Department of Sociology, Winter 1997).
Gottfredson, L. S. “Racially Gerrymandering the Content of Police Tests 		 to Satisfy U.S. Justice Department: A Case Study.” Psychology, 		 Public Policy, and Law 2, nos. 3/4 (1996): 418-446.
Kidd, P.S., and M.B. Parshall. “Getting the Focus and the Group: 			 Enhancing Analytical Rigor in Focus Group Research.” Qualitative Health Research 10, no. 3 (2000): 293-308.
Livingston, D. “Police Reform and the Department of Justice: An Essay 		 on Accountability.” Buffalo Criminal Law Review 2 Buff. Crim. L. 		 Rev. 815 (1999).
Reske, H. “Lessons in Rewriting Consent Decrees.” American Bar 			 Association Journal (1992): 16.
Whetstone, T.S. “Post Consent Decree Minority Promotions: 			 Discrimination, Disinterest, Disenfranchisement or Unrealistic 		 Expectations?” International Journal of Police Science & 			 Management 1, no. 4 (1999): 403-418.

References

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Endnotes
1 Columbus, Ohio is the only city in which there was contested litigation. The lawsuit was dismissed when the parties entered an agreement. Jurisdictions with consent decrees: Pittsburgh; Steubenville, Ohio (decree lifted on March 3, 2005); State of New Jersey; Los Angeles, California; Detroit, Michigan (two); Prince George’s County, Maryland. Jurisdictions with Memoranda of Agreement or Understanding: District of Columbia; Highland Park, Illinois; Cincinnati, Ohio; Cleveland, Ohio; Buffalo, New York; Mt. Prospect, Illinois; Villa Rica, Georgia; Prince George’s County, Maryland; Montgomery County, Maryland.
2 This project was supported by Grant #2004-HS-WX-0002 awarded by the U.S. Department of Justice Office of Community Oriented Policing Services. Points of view or opinions contained in this document are those of the authors and do not necessarily represent the official position or policies of the U.S. Department of Justice. The two research reports are: Robert C. Davis, Christopher W. Ortiz, Nicole J. Henderson, Joel Miller, Michelle K. Massie, Turning Necessity into Virtue: Pittsburgh’s Experience with a Federal Consent Decree (New York: Vera Institute of Justice, September 2002); Robert C. Davis, Nicole J. Henderson, and Christopher W. Ortiz, Can Federal Intervention Bring Lasting Improvement in Local Policing?: The Pittsburgh Consent Decree (New York: Vera Institute of Justice, May 2005).
3 Thayer Watkins, “The History of the Economy of Pittsburgh,” (San Jose, CA: San Jose State University, Economic Department), www.sjsu.edu/ faculty/watkins/pitts.htm.
4 Population of the 100 Largest Urban Places: 1950, (Washington, D.C.: U.S. Bureau of the Census: June 1998), www.census.gov/population/ documentation/twps0027/tab18.txt.
5 Ralph L. Bangs and Jun Hyun Hong, “Pittsburgh Benchmarks: Black and White Quality of Life in the City of Pittsburgh and Allegheny County,” (Pittsburgh: University Center for Social and Urban Research, University of Pittsburgh, September 1996).
6 Mark Houser, “County Race Barriers Fade,” Pittsburgh Tribune-Review, May 19, 2003. Sociologists measure segregation with a tool called the dissimilarity index. A score of 0 indicates full integration; 100 means total segregation.
7 Letter to City Solicitor Jacquelyn Morrow, from Deval Patrick, Assistant Attorney General, Civil Rights Division.
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Endnotes

Federal Intervention in Local Policing: Pittsburgh's Experience with a Consent Decree
8 Although we use the term monitor in the report, the consent decree refers to the individual as an auditor. We chose to use monitor because we feel it better encompasses the wide range of activities that were involved in the oversight role. 9 Dennis J. Kenney, Geoffrey P. Alpert, and Samuel Walker, “Early Warning Systems: Responding to the Problem Police Officer,” NIJ Research In Brief (Washington, D.C.: U.S. Department of Justice, National Institute of Justice, July 2001). 10 Ibid. 11 Ibid. For additional information on early warning systems see Sam Walker, “Early Intervention Systems for Law Enforcement Agencies: A Planning and Management Guide” (Washington, D.C.: U.S. Department of Justice Office of Community Oriented Policing Services, 2003; prepared under grant #2000-CK-WX-K124), www.cops.usdoj.gov/mime/open. pdf?Item=925. 12 “Performance Assessment and Review System: A Detailed Project Document,” Pittsburgh Bureau of Police internal document, April 26, 2000. 13 Monitor’s Tenth Quarterly Report, (February 2000). 14 Ibid. 15 To maintain confidentiality the survey form used did not include any identifying information or questions about rank. 16 Anonymous complaints also were accepted prior to the decree. However, they were terminated as “unfounded” if no corroborating evidence was found. The same is now true post-decree as a result of an arbitration settlement of a district court case between the city and the police union. 17 Monitor’s 23rd Quarterly Report, (San Antonio, TX: Public Management Resources, August 2003).
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For More Information:
U.S. Department of Justice Office of Community Oriented Policing Services
1100 Vermont Avenue, N.W. Washington, D.C. 20530
To obtain details on COPS programs, call the COPS Office Response Center at 800.421.6770
Created October 11, 2005 e09050003

 
 CITY OF PITTSBURGH INVESTIGATIVE FINDINGS LETTER
Jacquelyn Morrow, Esq. City Solicitor City of Pittsburgh 313 City-County Building 414 Grant Street Pittsburgh, PA 15219
Dear Ms. Morrow:
As you are aware, the Civil Rights Division has been conducting a civil investigation of the Pittsburgh Bureau of Police (the "PBP") to determine whether its officers are engaging in a pattern or practice of violating individuals' federal civil rights. As a result of our investigation, we have determined that the City of Pittsburgh, the PBP and the Department of Public Safety (collectively, the "City") have violated the Violent Crime Control and Law Enforcement Act of 1994 (42 U.S.C. § 14141). Our investigation pursuant to the Omnibus Crime Control and Safe Streets Act of 1968 (42 U.S.C. § 3789d(c)) into possible racial discrimination against AfricanAmericans is still ongoing. I have authorized filing a civil suit in United States District Court to remedy these violations. We would be willing to defer filing suit, however, if you are interested in negotiating a voluntary settlement in the form of a consent decree to be filed with the complaint.
Our investigation has revealed the following facts: (1) PBP officers engage in a pattern or practice of the use of excessive force and of making false arrests and performing improper searches and seizures; (2) PBP officers use racial epithets or racially insensitive language against African-Americans; (3) the municipal defendants fail properly to investigate complaints of misconduct; (4) the municipal defendants fail adequately to discipline officers who engage in misconduct; and (5) the PBP fails properly to supervise its officers.
1. Use of Excessive Force, False Arrests, Improper Searches and Seizures
Our investigation has uncovered a pattern or practice by PBP officers of frequently using excessive force against the public in effecting arrests and against individuals in police custody and restrained in violation of the Fourth and Fourteenth Amendments to the United States Constitution. We have also uncovered a pattern or practice of falsely arresting, and improperly stopping, searching and seizing individuals in violation of the Fourth Amendment to the United States Constitution. Further, our investigation has uncovered evidence that PBP officers use racial epithets or racially insensitive language directed against African-Americans. The use of racial slurs by police officers, when they occur with other misconduct, heightens our concerns about possible racial discrimination. Our analysis of OPS/OMI files and interviews of individuals who have complained of police misconduct indicates that very few meritorious OPS/OMI complaints have resulted in any discipline being imposed against a PBP officer. This information, combined with the fact that OMI does not consider an officer's prior record of

complaints when investigating allegations of the use of excessive force, false arrests or improper searches and seizures, along with recent jury findings, leads us to conclude that the municipal defendants engage in a pattern or practice of the use of excessive force, both in effecting arrests and against persons already in custody, and of falsely arresting, and conducting improper stops, searches and seizures of, individuals.
2. Failure to Investigate Complaints Properly
Our investigation has uncovered a number of management-related deficiencies that encourage the use of excessive force and improper searches and seizures. Our review of the OPS/OMI files reveals that OPS/OMI improperly applies its own disposition standards; closes an investigation if a complainant fails to provide the names of witnesses or fails to respond to a letter requesting this information within a fixed period of time; gives greater weight to the statements of its police officers, while discounting the statements of witnesses for the complainant; does not fully collect all evidence during its investigations; and does not consider an officer's prior complaint history in its investigation, although generally this information is included in an investigation file.
3. Failure to Discipline Officers Adequately
Our investigation has revealed that PBP officers are rarely disciplined, and then usually only for minor infractions, while the more serious allegations in complaints are ignored. OPS/OMI's failure properly to investigate all allegations of misconduct by PBP officers, as discussed above, means that some officers cannot be disciplined for misconduct. In addition, we found a pattern by PBP management designed to avoid disciplining its officers by changing OPS/OMI's sustained dispositions of complaints to a lesser disposition, resulting in no discipline or management intervention. This is usually done without sufficient explanation. Our analysis of the OPS/OMI files indicates that a significant number of all sustained complaints resulted in no discipline against the officer. A low discipline rate is confirmed by the City's own recent controller's report into police misconduct, known as the Flaherty Report. Our investigation also revealed a tendency to mete out more serious discipline for administrative violations than for civil rights violations. Finally, the PBP fails to discipline officers found guilty of misconduct by the courts, and in fact, fails to monitor such court proceedings involving its officers.
4. Failure to Supervise Officers
The PBP does not monitor complaints filed against its officers as a means of detecting problems before they occur. Such a tracking system would alert management to a potential problem and to the need for counseling, retraining or other intervention techniques. Our information also indicates a pattern or practice of inadequate field supervision of PBP officers. Further, the PBP does not consider an officer's complaint history for evaluation purposes, there are no performance evaluations conducted on PBP officers and officers with significant complaint

histories can and have been promoted.
We have concluded that the PBP engages in a pattern or practice of police misconduct. We recognize that, since being notified of our investigation, the City has begun the process of identifying and implementing certain reforms. While some of these proposed reforms appear to be a step in the right direction, we believe these proposed reforms are inadequate to remedy the scope of the misconduct we have identified. We would be willing to build on these reform efforts to attempt to settle this matter without litigation through the entry of a consent decree ordered by the United States District Court. Steven H. Rosenbaum, Chief of the Division's Special Litigation Section (202-514-6255), will contact you shortly to discuss this matter.
Sincerely,
Deval L. Patrick Assistant Attorney General Civil Rights Division >