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HomeMy WebLinkAboutItem A: Police Oversight System - Roles and Expectations ECC UGENE ITY OUNCIL AIS GENDA TEM UMMARY Work Session: Police Oversight System – Roles and Expectations Meeting Date: May 18, 2009 Agenda Item Number: A Department: Central Services/CMO Staff Contact: Sarah Medary www.eugene-or.gov Contact Telephone Number: 682-6877 ISSUE STATEMENT The purpose of this work session is to discuss the roles and expectations of the Police Auditor, Civilian Review Board, and the City Council, related to the police oversight system. BACKGROUND In July 2005, the Police Commission presented its final report and recommendations to City Council on proposed complaint intake and civilian oversight systems (Attachment A). The commission recommended a hybrid model of Auditor and Civilian Review Board and provided descriptions of the systems for City Council to consider. The report was accepted, the proposed model was supported, and a City Charter amendment to authorize the proposal was placed on the November 2005 ballot for voter consideration and subsequent approval. In 2006, the City Council hired the first Police Auditor and adopted Ordinance 20374 that provided for external review of police. In 2008, City Council placed an amendment to the City Charter on the November ballot that changed the language that contained the phrases “The city council is authorized to” and “the city council may authorize” to the mandatory phrase “city council shall….” After the amendment was passed by the voters, the council appointed a 15-member committee to consider potential necessary revisions to the related ordinance on police oversight. Over the next week, the City Council will discuss next steps on how to proceed with implementation of the recommendations of the Police Auditor Ordinance Review Committee (PAORC) and supervision of the Police Auditor. The council is also in the process of hiring a new Police Auditor. In anticipation of these discussions and decisions, City Council has expressed an interest in reviewing the original materials considered in adopting the hybrid model of oversight and developing a common understanding and agreement on the related roles and expectations of the Police Auditor, Civilian Review Board, and the City Council. COUNCIL OPTIONS No options are being provided as the work session was proposed as a discussion. Z:\CMO\2009 Council Agendas\M090518\S090518A.doc SUGGESTED MOTION No motion is suggested as the work session was proposed as a discussion. ATTACHMENTS A. Police Commission Report – July 2005 B. Brochure from 2008 Police Auditor Recruitment FOR MORE INFORMATION Staff Contact: Sarah Medary, Assistant City Manager Telephone: 682-6877 Staff E-Mail: sarah.j.medary@ci.eugene.or.us Z:\CMO\2009 Council Agendas\M090518\S090518A.doc Police Commission Report to Eugene City Council: Police Complaint System and Civilian Oversight Recommendations July 25, 2005 Table of Contents I. Executive Summary....................................................................................................................1 II. Project Overview.......................................................................................................................2 III. Research and Community Values............................................................................................3 IV. Model Development/Committee Process................................................................................4 V. Proposed Oversight System Description...................................................................................8 Complaint Intake................................................................................................................9 Preliminary Investigation and Complaint Classification..................................................11 Complaint Routing and Possible Outcomes.....................................................................12 Other Intake-Related Recommendations..........................................................................13 Auditor Role in Monitoring Investigations......................................................................17 Civilian Review Board Role.............................................................................................20 Board Membership Recommendations............................................................................22 VI. Oversight Model Frequently Asked Questions......................................................................23 VII. Outstanding Issues and Next Steps......................................................................................25 VIII.Attachments......................................................................................................................28 Police Complaint System and Civilian Oversight Recommendations I. Executive Summary Over the past year, the Eugene Police Commission has conducted an extensive review of current practices for handlingcomplaints against police, including a re-examination of different models of civilian oversight. Background research for this project included a significant literature review and a consultant report on civilian oversight modelsin operation nationally. Multiple communityforumswereheld to seek public input on concerns with the current police complaint system and to compilesuggestions for improvements. Committees were formed to develop specific recommendations for how complaints are received, classified, investigated and, once a conclusion is developed, reviewed. The committees submitted a conceptual oversight model to the Police Commission that instills more robust civilian review into the complaint process. The conceptual model was revised following additional commission th discussion and communityinput. On July 25, the resulting recommendations will be presented to City Council for its consideration. The commission hopes that following the Council work session, it will continue to refine the oversight model and assist with the development of the ordinance and policies that will support implementation of the new complaint system. Values/Outcomes Sought in New Complaint System Creation of an accessible, safe, impartial and responsive complaintintake system o Assurance of high quality,thorough and unbiased investigations o Accountability and fairness for all involved o Increased transparency in how complaints are handled and dispositions are generated to build o credibility and trust in thecomplaint system Identify organizational improvements to enhance the qualityof police services to the public o Avoid pitfalls encountered in other communitieswhen implementing civilian review o How Proposal is Different than Current System Communitymember complaints are lodged with independent auditor’s office o Investigations are removed from police supervisors and transferred to an expanded investigative o unit within IA Full time auditor, independent from the police department,monitors on-going IA investigations o for quality assurance Citizen review board oversees the work of the auditor to ensure that investigations are fair o Options for alternative resolution to complaints are expanded and utilized morefrequently o Proposed Oversight System Authority (Hybrid Model of Auditor and Civilian Review Board) Auditor’s office receives complaints, conductspreliminaryinvestigations and classifies how o cases will be handled Auditor actively monitors internal investigations, including abilityto participate in interviews, o require additional investigation, contract with outsideentity to conduct certain investigations and recommend case dispositions to the Chief of Police Auditor seeks improvements to police services by identifyingpolicyand training issues o associated with complaints and reviewing tort and risk claims Auditor identifies cases for review board to oversee and provides quarterly reports to board on o complaint processing decisions, investigative findings and case outcomes Civilian board reviews and comments on investigations sent to it by the auditor,upon request of o the complainant, or at its discretion, and in specific situations, can require the case to be re- opened for further investigation Board monitors the work of the auditor’soffice to ensure that complaint handlingdecisions and o recommendations to the Chief on case investigations reflect community values 1 Police Complaint System and Civilian Oversight Recommendations II. Project Overview At the March 11, 2004 Police Commission meeting, Chief Lehner requested that the commission consider a review of how complaints and internal investigationswere handled by the department. The Chief was concerned that the department’s current procedures for handling and investigating complaints did not meet professional standards. The 2004 audit of internal affairs cases confirmed some of these concerns, specifically identifying deficiencies in the quality and timeliness of complaint investigations. Several commissioners noted that this project seemed to fit naturally into the group’son-going discussion of strategies to improve police/community relations. Furthermore, the commission was highly sensitive to the breach in public trust that occurred when two former Eugene police officers were convicted for criminal misconduct that occurred over a period of years while on duty. The commission decided to take on a review of the police complaint system, adding a re- examination of civilian oversight models that might be appropriate for Eugene to its effort. Commissioners agreed that this was a timely and necessary project given that recent events had cast doubt over the reliability of the current internal affairs procedures to treat all parties involved in a complaint fairly, and to hold people accountable for inappropriate conduct in a timely manner. A thorough review of existing policies and procedures, coupled with an examination of models of civilian oversight, could help rebuild credibility in the department’s complaint system and improve police/community relations. In June 2004, the commission developed a work plan for the upcoming year that was devoted almost entirely to this project. That samemonth, Chief Lehner presented a set of interim improvements the department’s complaint process in response to the auditor’s report, noting that more substantive changes would be occur following receipt of the commission’s recommendations. The commissionrealized that this project would be an undertaking unlike any of its past efforts, requiring an infusion of resources to meet community expectations for a thorough and timely review. The commission proposed a 15-month process with the following main components: -review current Eugene Police Department (EPD) policies and procedures for filing complaints and conducting internal investigations; -examine other models of civilian oversight in place nationally; -conduct a robust public outreach effort to solicit a broad range of ideas and suggestions for improvements to the complaint system; and -develop recommendations to improve the internal affairs process, including options for incorporating additional civilian oversight in the system and re- evaluating the commission’s role as a policy review body. The commission requested contingency funds in the amount of $65,000 to assist in this effort. The funds were primarily used for additionalstaff support to the project (0.5 FTE) and to contract with the Police Assessment Resource Center for a report on national models of police th oversight. On July 28, 2004, the City Council approved the commission’s work plan and contingency fund request. 2 Police Complaint System and Civilian Oversight Recommendations III. Research and Community Values Even before the work plan was approved, the commission began two efforts to jumpstart the information gathering phase of the project. An extensive literature review was initiated to collect current information on best practices and issues surrounding police complaint systems. A binder of written material on police oversight was compiled and provided to commissioners, including the 1998 External Review Advisory Committee (ERAC) report. This information was also posted on-line with links to the material where available, and a binder was placed in the library to facilitate public access to this information. See Attachment A for the commission’s research material list. Also beginning in June 2004, a series of community forums were conducted to solicit public input on perceived barriers to lodging a complaint against the police, expectations for a model complaint system, and suggestions for improvements to the process. Specifically, participants were asked these questions: What, if anything, would prevent you from filing a complaint with the police department? If you have filed a complaint in the past, what was your experience like? If you have not, what would you expect from the process? What ways can you think of that would improve the complaint process? Community members were also encouraged to share comments by email or phone. All comments were captured, summarized and provided to the commission to help identify the key issues and community values to be addressed. See AttachmentB for the list of public input sessions and commentary. In November, several commissioners attended police in-service training sessions to gather employees’ perceptions about the current complaint system and ideas for improvements. These sessions provided useful suggestions and insights from officers and helped assure EPD personnel that the commission was considering the needs ofboth officers and civilians in its process. In addition to the public forums, the commissionbegan reviewing existing policies and practices used in the complaint process. Staff presentations on internal affairs procedures, complaint investigations, and city disciplinary processes were delivered. Commissioners Bettman and Laue attended the National Association for Civilian Oversight in Law Enforcement conference to collect information on different law enforcement complaint processes in place and learn first- hand about the successes and challenges of these models. The conference also afforded an opportunity to build relationships and network with others who are involved in this work. A crucial portion of the background information received was the report “Review of National Police Oversight Models.” A contract was signed with the Police Assessment Resource Center (PARC) to conduct a national review of civilian oversight models for jurisdictions that are comparable to Eugene and to develop recommendations on models that might be a good fit for our community. Two public presentations of the PARC report were delivered in February 2005. The report reviewed thirty different oversight systems, grouping them into three broad 3 Police Complaint System and Civilian Oversight Recommendations categories: 1) review and appellate models; 2) investigative and quality assurance models, and 3) evaluative and performance based models. The report was especially useful for comparing individual elements of the different models when the commission began developing its preferred oversight system. Based on the input received and the research conducted, the commission agreed that the complaint system recommendations should strive for the following outcomes: respect and protect community members’ rights, civilians and officers alike, in an o atmosphere that is accessible, safe and fair; take complaints seriously and provide options for advocate support and alternative o methods for resolution; address the issues and reflect the values of this community; o be impartial, transparent and timely, promoting credibility in the complaint system and o trust in the police department; and facilitate continued evaluation of the complaint system and overall department practices o improve the quality of police services to the community. IV. Model Development/Committee Process The commission recognized that, given the magnitude and complexity of the project, a process adjustment was needed to help it meet its projected timeline without compromising the quality of work. In December, two committees were convened to develop preliminary recommendations for how complaints are received and handled (intake process) and how they are resolved and reviewed (case adjudication and civilian oversight process). The committee process was intended to facilitate an expeditious yet thorough analysis of these specific segments of the complaint system as well as expand opportunities for including stakeholders and other community members in the committees’ deliberations. Also in December, the commission met with members of Communities United for Better Policing (CUBP) to discuss how the groups would each proceed in developing recommendations for civilian review of the police department.The two groups agreed to work collaboratively on parallel but separate efforts and exchange progress reports and information when appropriate. CUBP participated in many of the committee meetings, providing insight and perspectives to the commission as it worked to develop its own oversight model. In January, a stakeholders email list was developed as a means of providing project information with a large network of interested parties. The stakeholder list, containing more than 300 addresses, was used to distribute informationon the committee process, as well as to provide notice of other commission-sponsored events related to the development of the oversight proposal. The commission also specifically encouraged the Eugene Police Employees Association (EPEA) to participate in the process. EPEA representatives attended and provided input at both the 4 Police Complaint System and Civilian Oversight Recommendations committee and commission level. The EPEA’s formal positions on the oversight system are included as Attachment C. Complaint Intake Committee The goal of the Complaint Intake Committee wasto “develop recommendations to improve how complaints are received and processed to create and accessible, safe, and responsive intake system that engenders the trust and confidence of all involved and that promotes accountability.” The committee reviewed three separate models for complaint receipt and handling, and from these models, developed an intake process that it believed would meet the values described in its goal statement. The three intake models that were considered are described as follows: Internal Intake – systems where all complaints regarding police personnel are funneled to o the police department for processing, although various access points may exist. While there may be multiple avenues for complainantsto initiate the process, all complaints are referred to police personnel who are responsible for all case handling decisions (investigate, dismiss, mediate,etc.). Like most police departments, Eugene currently has an internal intake system. Independent Intake – systems where all complaints against police personnel are required o to be submitted to and processed by an entity outside the police department. This entity has sole responsibility for complaint intake and categorization decisions, and if not resolved at intake, assigns the complaint to the investigative unit forfurther processing. Dual Intake – those systems where complaints may be lodged either with the police o department or with an independent entity that has responsibility for tracking and reviewing the complaint. In some systems, the complainant can choose either intake entity to lodge a complaint. In others, the police department retains responsibility for intake of internally generated complaints and civilians can choose either venue. Another variation is where the nature of the complaint, rather than the complainant, determines which intake system receives the complaint;for example, those where all excessive force and discrimination complaints are handled by the independent entity. What distinguishes dual intake systems from the other models is that both entities have complaint decision- making and tracking responsibilities. The committee was in agreement that the ability for community members to lodge complaints in a neutral environment, independent from the police department, was an unqualified requirement in its proposed model. It initially selected a dual intake model where complainants, both police and civilians alike, could file a complaint with either the internal affairs or an independent entity, presumed to be the auditor’s office. This process offered several advantages over the other models in that it provided options for complainants to self-select the venue they were most comfortable with and increased intake staff capacity to ensure a timely response to complainants. The committee acknowledged that for a dual intake system to work well, data sharing and coordination between internal affairs and the auditor’s office would be a prerequisite. In sharing its recommended intake model with other commissioners, concerns were raised that real and/or perceived inconsistencies in complaint handling decisions between the two entities would be inevitable. The Intake Committee reconsidered its recommendation and revised the dual model so that the auditor was responsible for complaint classification decisions. At the July 5 Police Complaint System and Civilian Oversight Recommendations th 14 meeting, the intake model was revised again, this time directing all civilian complaints to the auditor’s office for intake, classification, and follow up. The Intake Committee also developed recommendations on several issues related to complaint intake and handling decisions, such as whether anonymous complaints should be accepted and the role of mediation and other alternative resolution options in the process. These recommendations, along with the latest iteration of the intake model description, are described in more detail later in this report. Adjudication/Review Committee The goals of the Adjudication/Review Committee were to: 1) review existing practices around case adjudication, discipline decisions, and review/appeal of the adjudication, 2) explore other processes/models and how civilian oversight fits into those models, and 3) make recommendations for changes that would promote accountability, thoroughness, timeliness, integrity, fairness, transparency and consistency. The committee began its task by reviewing the 1998 External Review Advisory Committee (ERAC) report and analyzing broad categories of civilian complaint review to identify strengthsand weaknesses of each type of system. Three models were reviewed: Auditor/OmbudsmanOnly; Civilian Review Board; and Hybrid Models that included both an auditor and review board. The committee agreed early on that it preferred a hybrid system as advocated by the ERAC, but that its proposal should be more specific about the auditor and civilian review board’s authority, responsibilities and reporting relationships to city leadership and other policy bodies. The committee cited the following benefits of a hybrid system: it incorporates the advantages of auditor and civilian review board-only models by o combining increased citizen involvement and professional expertise; it addresses requests of community and police employees for a fair, transparent and o credible system; it provides for more “checks and balances” within the complaint process and of police o practices in general; by not just focusing on individual complaints, the auditor is able monitor investigations o with an eye towards systemic improvements, adding analytical capacity to the organization; there is the ability to avoid some of the legal/labor contract issues because the auditor, as o a city employee, could assume some duties that would otherwise be bargainable if vested in a citizen board. Committee members also acknowledged that a hybrid system could pose some challenges in comparison to the other models: it may be more complex to implement and there is less chance for a seamless operation; o there is the possibility of an adversarial relationship between the various oversight o components, policy bodies and city leadership; more components add bureaucratic layers and expense to the process; o complaint resolution is apt to be less timely than in other models. o 6 Police Complaint System and Civilian Oversight Recommendations In spite of these challenges, committee membersagreed that community expectations for an independent, credible complaint process that is accountable to the public would not be met with just an auditor in place. Similarly, the committee did not believe that a review board alone would help identify the procedural and training changes that would improve not only the complaint system, but enhance police services to the public. With a focus on hybrid oversight models, the committee developed four distinct civilian review board models and requested City Attorney advice on the legal and employee contract challenges associated with implementing each variation. Several common characteristics were shared between all the civilian review board models under consideration: The review board would be comprised of community volunteers appointed/selected o by the Mayor and City Council. Staff support to the board would be provided through a police auditor’s office, which o at a minimum, reports to the board on complaint trends/statistics and other work relevant to the auditor’s office. The review board and the auditor would provide trends and policy information to the Police Commission. Investigations would normally be conducted by the internal affairs unit and monitored o by the auditor, although the auditor would have the authority to request additional or outside investigations. Final decisions for employee discipline would remain with the Chief of Police. o A charter amendment would be required to enable the City Council to appoint a o civilian review board that reviews complaints surrounding employee conduct and to allow the hiring of an auditor that is answerable to the City Council. Review board meetings would be open to the public; confidentiality issues should be o addressed through procedural or contract negotiation avenues. Of the four models discussed, the committee was least interested in a system that allowed complainants to appeal the outcome of their investigation to the civilian review board. These systems posed the most potential for legal and employee contract problems, could become a costly, adversarial and duplicative quasi-judicial proceeding, and were unlikely to create improved satisfaction from those involved in the process (appellants, review board members, and employees alike). The committee agreed that its preferred options were a: Bifurcated Investigation Model, where the board would oversee specific cases as they o were being investigated and with the auditor, would develop findings on those cases prior to the Chief developing an adjudication; and Closed Complaint Review, where a complainant can present concerns about the o outcome of the case to the review board, which will review the file and develop findings on the case for delivery to the auditor and Chief of Police, but would not impact the outcome of the investigation. 7 Police Complaint System and Civilian Oversight Recommendations Upon further discussion of the merits of these two models, the committee decided to combine elements of both options into a new model. This oversight system was presented to the Police Commission at its May meeting for preliminary discussion and conceptual approval of the hybrid oversight system. Also in May, committee chairs met with members of CUBP to compare oversight models. This discussion indicated that the two group’s proposals, while not identical, were alike in many important aspects. Once the commission agreed to a hybrid oversight model, research then focused on other communities with similar systems, particularly Seattle, Portland, and Denver. The Deputy Director of the Portland Independent Police Review Division and Chair of the Citizen Review Committee provided an overview of Portland’s system to the commission. In June, Richard Rosenthal, formerly the Independent Auditor for the City of Portland and recently hired as Denver’s police monitor, gave his assessment of the commission’s proposed model. The commission held three meetings in June for deliberation and revisions to the model, considering further input from City Manager Dennis Taylor (see Attachment D), the City th Attorney, stakeholder groups, and input received at two public forums. At the June 9 meeting, the CUBP gave its support to the commission’s draft proposal if the governance of the model rdth was under the auspices of the City Council. On June 23 and 28, the commission worked through the intake system and auditor/review board roles to determine where there was consensus on the model and identify areas in need of further refinements (see Attachment E for the commission’s voting record on the substantive portions of the oversight model). th At the July 14 meeting, the commission held a 30-minute discussion session with CUBP members to determine how the CUBP would proceed with sharing its proposal and/or comments on the commission’s oversight model with the Council. A memo from the CUBP regarding the civilian oversight proposal is included as Attachment F. Also attached is the Human Rights Commission’s statement of support for the oversight proposal that was read into the record at the July meeting (see Attachment G). After the conversation with the CUBP and another discussion with the City Attorney on the function of the review board, the Police Commission made several adjustments to the model and voted to forward the oversight recommendations to the City Council for its review. Attachment H includes the City Attorney’sreview of the oversight modeland specific advice regarding the function of the review board. V. Proposed Oversight System Description In its research of civilian review models, the Police Commission established that police oversight has evolved from purely citizen volunteer boards charged with reviewing complaints against police. Civilian review of police now includes a range of different oversight systems with structural and procedural variations that are unique to each community. The commission agreed early on that it favored a model that provides for an external review of complaints by professional staff to ensure competent, thorough, objective and timely investigations. It also valued models that enabled identification of systemic issues within the police department that helped generate complaints. Rather than being confined to the review of individual complaints, a 8 Police Complaint System and Civilian Oversight Recommendations model that had strong evaluative capabilities to determine where changes to policy, procedures and training would improve the overall performance of the department was desired. The proposed model is a hybrid oversight system that consists of both a full-time professionally- staffed auditor’s office and a civilian review board. The role of the auditor’s office is to provide a neutral location to lodge complaints and to actively monitor on-going internal affairs investigations to ensure objective, thorough and high quality investigations. The auditor identifies policy, practice and training concerns to promote organizational changes that improve police services to the community and reduce risk and liability to the city. In addition, a civilian review board, consisting of five to seven community members, will oversee the work of the auditor’s office. The role of the review board is to evaluate the case handling decisions and investigative recommendations of the auditor’s office, and in a set of pre-established circumstances, assess how complaints are being investigated and responded to. By involving community members in the review of complaints, the commission sought to increase the transparency and public understanding of incidents under investigation, and, over time, hoped to reestablish trust and credibility in the complaint process. The proposed model is broken down into three main components: 1) complaint intake, classification and routing decisions, 2) investigation monitoring and adjudication recommendations, and 3) case review. The auditor and review board’s function in these three areas are described in more detail below. Complaint Intake The success of any complaint system is contingent on an intake process that is easily accessible and perceived as credible and responsive to the end users. The current police department complaint intake process is wholly internal,meaning that the police department has sole responsibility for complaint handling and resolution decisions. In soliciting public input on this system, people often expressed anxiety that if they complained about a police officer, they would be subject to some form of retaliation, their concerns wouldn’t be taken seriously, and/or that nothing would come of their complaint. In response to these concerns, the commission is recommending that the auditor’s office become the singular intake center for community member complaints, and that police employees can choose to lodge complaints through either internal affairs or the auditor’s office. The auditor’s office can also process commendations. The Police Commission recognizes that designating the auditor’s office as the receptacle for all community member complaints will require a significant public education process. It recommends that information on the redesigned complaint process with an accompanying complaint form is available at multiple locations throughout the community, including community centers, social service providers and even large retail centers. The brochures should encourage honest feedback about police conduct and department services and be available in English and Spanish. The commission is willing to participate as appropriate in developing a revised complaint intake form and associated information that clearly explains the process, options for complaint resolution and possible outcomes, and timeline expectations. The commission also acknowledges that internal procedures for referring community members to the appropriate entity to take a complaint, answer a question, or access other information 9 Police Complaint System and Civilian Oversight Recommendations about police services will need to be developed. The objective is to assist members of the public in getting swift resolution to their requests, andto the greatest extent possible, capture and route complaints about employee conduct to the auditor’s office for documentation and processing. The commission recommends a policy statement be developed that directs all police employees to route complaints from community members to the auditor’s office for processing and tracking purposes. The auditor’s office will be responsible for documenting all contacts and referrals for statistical reporting purposes. Similar to the Police Commission, the review board will be an access point to the City and serve a public education and outreachfunction to community membersregarding the police complaint system. As such, the board can receive and forward complaint information to the auditor’s office for processing. The review board can also provide a forum to gather community member concerns about an event where police actions generate considerable public concern. The board’s function is not to investigate the incident,but to collect public comments, help educate community members on the complaint process, and in the event that officers’ conduct is investigated, ensure that the original complaints brought to the board’s attention were addressed through the ensuing investigation. There are some situations where a community member has concerns about a police incident and utilizes redress options other than the complaint process. The commission believes that the auditor’s office should be able to review and potentially initiate a complaint investigation in specific situations where community members have clearly expressed concern about police practices absent the established complaint process, i.e., filing of a tort or risk claim, holding a press conference, etc. The Police Commission acknowledges that some portion of community contacts to intake staff will not necessarily be complaints, but will be questions about police practices or referrals to other agencies for assistance with a problem. The commission recommends that issues that can be easily resolved to the person’s satisfaction at intake are documented via a “Contact Log” and closed. A community contact appropriate for thecontact log has been preliminarily defined as “questions about police policies and practices, referrals to other agencies/resources, and dispute of facts where the contact is satisfactorily resolved at intake.” All other issues will be treated as complaints and handled as described in the next section. In its redesign of the complaint intake process, the commission agreed that a classification system was necessary to facilitate efficient use of resources, timely response to complainants and meet customer service expectations. It is recognized that any intake system will require a certain level of judgment and flexibility to most appropriately address each concern. While there is discretion built into the system to enable staffto exercise sound decision-making, there are also checks and balances in place to ensure that thesedecisions reflect the values established for the complaint system. In monitoring the work of the auditor’s office, the review board will periodically evaluate the complaint intake and classification system to ensure that the goals of an accessible, neutral, and responsive intake process are being met. A review of the number and types of contacts made to intake, case handling decisions, utilization of alternative resolution options, and other outcome measures will be conducted, and any recommendations for procedural improvements will be forwarded to the appropriate policy body. 10 Police Complaint System and Civilian Oversight Recommendations Preliminary Investigation and Complaint Classification Internal affairs statistics over the past several years show that the office responds to over 300 citizen contacts a year. These contacts range from simple requests for information to allegations of criminal misconduct against police officers.As such, the department has used two broad categories of complaints to distinguish cases that require a full investigation from other contacts: allegations and inquiries. Complaint categorization has both procedural and public perception implications. Procedurally, how a complaint is classified affects the level and type of investigation conducted, disposition outcomes, timeline for completion, and record retention requirements. In terms of public perception, the department’s internal categorization process has been criticized as being biased, inconsistent and dismissive of valid concerns. Alternately, some police employees have voiced frustration that the department’s intake system creates an open door policy for frivolous complaints that redirects sergeants’ attention from supervising employees to conducting pointless investigations. Clearly, this was an area ripe for change. The Police Commission believes that all complaintsshould be treated with due diligence, but has found that to make the most efficient use of resources, facilitate a timely response to complainants, and offer multiple options for complaint resolution, a categorization system is necessary. To ensure that the basis for classification decisions is independent, consistent and transparent, the commission recommends that the authority for categorizing complaints rest with the auditor’s office. A basic process description follows, but more formalized procedures should be established to provide clear, standardized practices. The auditor’s office will be responsible for conducting a preliminary investigation of all complaints to determine how the issue is best handled. Vesting the authority to classify complaints with the auditor’s office is intended to reassure the community that these decisions will be informed, professional judgments that consider how to achieve the best resolution to an issue, and are not formed on the perceived credibility of the complainant. For consistency, the auditor should classify both internally generated and community-based complaints. To enable the auditor to conduct a preliminary investigation into the involved incident requires that the auditor have access to law enforcement databases. The auditor will classify complaints into two categories: service complaints and allegations of misconduct. A service complaint will include concerns about police officer performance or demeanor, customer service and/or level of police service complaints, or complaints where the person is dissatisfied with current procedures or in disagreement with established police policies. The complainant does not allege behavior that would constitute a policy violation. Service complaints, in large part, will replace the category of complaints currentlytreated as “inquiries.” The formal definition of a service complaint will need to be developed and incorporated into police department policy. An allegation of misconduct will be those complaints that, if true, would be a violation of department policy, a violation of a person’s civil rights, or a criminal offense. Both service complaints and allegations of misconduct will be further categorized by type for statistical tracking purposes and to allow trends analysis on the nature of the complaints received. 11 Police Complaint System and Civilian Oversight Recommendations Complaint Routing and Possible Outcomes The Police Commission has found that issues involving employee performance are often most appropriately addressed by the supervisor. This encourages a learning environment for the employee and retains supervisory involvement in employee development and initial corrective action. Service complaints provide for resolution of complaints without a time-intensive, formal investigation and enable supervisors to address “minor” performance and demeanor issues through management intervention techniques (training, coaching, etc.). If the auditor classifies the contact as a service complaint, a variety of outcomes are available to the complainant, including notification to the supervisor, alternative resolution options, or referral to supervisor for follow-up investigation. If misconduct is discovered through supervisor follow-up on a service complaint, the complaint will be reclassified as a misconduct allegation. Complaints categorized by the auditor as misconductallegations will be routed to internal affairs for investigation. The Police Commission recommends that supervisors no longer investigate complaints about their subordinates and that instead, internal affairs is restructured into a specialized investigative unit that will conduct the majorityof complaint investigations. If the complainant alleges behavior that would be a criminal offense, the auditor will route the case to the Chief of Police for review and a decision to involve the District Attorney. Both service complaints and misconduct allegations may be appropriate for alternative resolution, depending in part on the type of complaint and the employee’s past history. The auditor’s office will be responsible for identifying cases that are most appropriate for alternative resolution options. More information and refinements on the alternative resolution process will be developed as part of the commission-sponsored Mediation and Advocacy Task Team. Timely notification on the receipt and disposition of complaints will be the responsibility of the auditor’s office. If a case is dismissed, the auditor will inform the complainant for the basis of the dismissal. If the case will proceed to a formal investigation, the auditor’s office will notify the complainant and explain or provide information on process expectations, options and timeline. A final disposition letter will be generated after case adjudication clearly explaining the outcome of the case and the basis for the decision. The commission recognizes that while increased transparency and understanding of the complaint process is an overarching goal, public records constraints and confidentiality issues need further discussion and resolution. The auditor’s office will maintain a robust case-tracking database documenting the receipt, status and disposition of all complaints. The database should be shared with Internal Affairs as both entities will have responsibility for tracking cases. If policy or training deficiencies are noted through the review/investigation of a complaint, these would be documented as an outcome of the complaint. Timelines for complaint notification, classification and routing decisions, investigation, and case disposition will need to be developed.Adherence to the established timelines will be one of the outcome measurestracked and reported by the auditor’s office. Attachment I is a flow chart that illustrates how a community complaint will move through the proposed model. 12 Police Complaint System and Civilian Oversight Recommendations Other Intake-Related Recommendations Staffing and Physical Location of the Auditor’s Office The intake model as described will require additional staffing to be successful. This includes, at a minimum, an auditor and requisite staff (approximately 3 FTE) and additional investigative capacity in the internal affairs unit. The commission recommends that physical location of the auditor’s office be separate from the police department but in close proximity to facilitate a close working relationship with others involved in the complaint process. Anonymous and Third Party Complaints Currently, the Eugene Police Department has a practice of accepting anonymous and third party complaints on a case-by-case basis, but there are no formal, documented procedures in place. In general, anonymous and third party complaintscan only be investigated if there is enough credible and specific information provided to identify the incident/personnel involved. For clarification, it was agreed that third party complaints include both those submitted by a witness to the incident (can be either an involved party or not), or by a person who is did not witness the event but is bringing the complaint forward on behalf of another person based on information relayed to his/her. In the latter case, the third party may be a parent or an advocate, for example. Noting that anonymous and third-party complaintscan serve an importantrole in the complaint process and can offer a sense of safety to complainants who are fearful of coming forward, the following is recommended: The police department should have a formal policy of accepting both anonymous and o third party complaints. Anonymous complaints should be documentedand investigated until they either meet a o lack of credibility threshold or investigativeleads are exhausted. It is acknowledged that complaints alleging more serious misconduct or criminal behavior will be allocated more investigative resources than other anonymous complaints. It is also recognized that the chances for successful resolution of anonymouscomplaints are low, particularly if the investigator cannot contact the complainantfor additional information, and that these cases may be closed after a preliminary investigation due to insufficient evidence or information. In addition to accepting anonymous complaints, the department should allow o complainants to request that their personal information be kept confidential from named employees if an investigation ensues. The policy should acknowledge the acceptance of two categories of third party o complaints: Those with a reasonably direct relationship to the incident, such as a witness or person with professional or organizational knowledge of incident (supervisor, other employee). Advocates or others with a special relationship to complainant (e.g., parent assisting a minor child who was directly affected, advocates for persons with disabilities, mental health issues, non-citizens or persons with language barriers). 13 Police Complaint System and Civilian Oversight Recommendations Whenever possible, the department will encourage the complainant to contact the person o directly involved in the incident to participate in the investigation to verify/clarify and provide additional information relevant to the complaint. Intake personnel have a responsibility to advise complainants of the availability of o advocates, particularly in cases where juveniles or other vulnerable populations may be involved in a formal investigative process. The actual role of advocates should be addressed as part of the redesign of the mediation program. Requesting Sworn Statements One of the objectives of the redesigned intakeprocess is to encourage honest feedback from community members about police employee performance and quickly correct misconduct once identified. The commission recognizes that malicious complaints do occur, and that these often result in serious personal and professional hardship to involved officers. Spurious complaints also take a toll on agency resources and employeemorale. However, it is also recognized that requiring all complainants to sign a sworn statement attesting to the truthfulness of their complaint could be perceived as an obstacle to accessing the complaint system and act as a deterrent in reporting actual police misconduct. The following recommendations attempt to balance values around enhancing the accessibility and safety of the complaint intake process with setting a clear expectation for truthfulness and accountability for all: Sworn statements will not be required as part of the complaint intake process. o If upon review of the complaint, it is determined that criminal behavior is alleged and the o allegation passes an initial credibility test to warrant further investigation, a signed statement from the complainant will be taken during a follow-up interview. The statement developed should use language that is neutral and non-threatening. o Any requirement for a sworn statement should be clearly articulated in all public o information on the complaint process and described in a way that is factual and encouraging of participation. All cases where sworn statements are collected will be documented for review and trends o analysis. Refusal to sign a sworn statement will not be the sole basis for discontinuing an o investigation. Complaint Dismissal A more formalized process for when complaints can be dismissed may alleviate community concerns that complaints are not being handled consistently or fairly and will help standardize procedures. The following are guidelines to be refined at a later date for situations where complaints could be dismissed so that procedures are clear to the public and intake and investigation resources are used wisely. It should be noted that these procedures indicate areas where complaints may be justifiably dismissed, but do not limit the auditor’s discretion in making such decisions. Document all complaints received and if dismissed, why they were dismissed. o 14 Police Complaint System and Civilian Oversight Recommendations Justification for dismissal o -Acknowledging that timeliness of the complaint is important, as memory diminishes over time and witnesses and evidence maybe more difficult to locate/uncover, a timeline for complaint acceptance should be established. A six month timeframe is recommended, as it would be consistent with the retention timefor dispatch tapes and any video recordings taken. The procedures allow, but do not require, the intake entity to dismiss complaints involvingincidents more than six months old. Exceptions to the timeline should be included, such as delays due to advice to first resolve a criminal case, hospitalization, or incarceration. No specific deadline for complaints alleging serious criminal conduct should be in place. -If the complaint is about an employee who does not work for the City, the complaint can be declined as outside the jurisdiction of the auditor’s office and the complainant referred to the appropriate entity; -If upon review of the complaint it is determined that the substance of the complaint is solely to contest the enforcement action taken (not the manner in which it was taken) the complaint may be dismissed and the complainant directed to the appropriate remedy or channel for that grievance, e.g., municipal court to contest traffic citation; Complaints that are closed due to insufficient information should be flagged as such in the o final case disposition. Warrant/Records Checks Some community members have expressed concern that the practice of running a records check on complainants, which not only provides basic incident information but also indicates whether a person has an outstanding warrant, could have a chilling effect on the complaint process and prevent people with old or active criminal histories from coming forward with complaints. Further, it was feared that reviewing a complainant’s record would have a prejudicial impact on the process, i.e., people with more police contacts would not be given as much credibility as others. It should be noted that a records check is a query of the local law enforcement database to show the number and types of police contacts, and includes notification of any outstanding warrants (state and national). This differs from a “background check” which is a more extensive search of a person’s law enforcement record, any resulting court proceedings and sanctions, credit checks, employment history, etc. By moving the preliminary investigation and classification of complaints under the auspices of the auditor’s office, the commission hopes to ameliorate some of the issues associated with law enforcement databases queries which inextricably determine the information necessary to process the complaint and indicate the existence of outstanding warrants. Unlike a police department employee, auditor’s office staff would not be obligated to act on an outstanding warrant, but could instead encourage community members to responsibly take care of court orders. The following process is recommended. Records/warrant checks should not be conducted on a routine basis as part of complaint o intake as this can be a deterrent to potential complainants. The auditor’s office will have the responsibility to screen and conduct a preliminary o investigation of complaints forclassification purposes. As part of this process, intake 15 Police Complaint System and Civilian Oversight Recommendations personnel may need to run a records check to identify involved personnel and gather other incident information necessary for the complaint categorization. If an outstanding warrant is discovered during this process,intake personnel will have the discretion to notify the complainant of this fact so that the warrant can be resolved without risk of arrest. In situations where the complaintis of a serious nature, the fact that an outstanding warrant exists will not delay processing the complaint. Similarly, if an outstanding warrant for certain crimes (e.g., a violent felony) is discovered, intake staff will notify police of this fact when appropriate. Procedures will be developed to provide guidance for when intake staff should take more direct action on an outstanding warrant. The Police Commission recognizes that records checks are a routine portion of all police o investigations, including internal investigations. However, as only a subset of all complaints will require a formal investigation, removing a records check from the initial complaint intake process significantly reduces the risk that filing a complaint will trigger an arrest. Since a records check will occur if the complaint proceeds to the investigation phase, public information on the complaint process should explain that as part of investigating the complaint, any outstanding warrants will be identified. The language should encourage people who are concerned about the possibility of an outstanding warrant to access the auditor’s office to filea complaint and/or to clear their warrants with the Court before filing a complaint.The actual language selected should attempt to balance transparency with other values such as neutrality, open access, safety and accountability. Alternative Resolution to Complaints The commission believes that a successful mediation program should be an integral part of the redesigned complaint process. As such, commissioners have expressed a commitment to modernize and expand the current program to ensure complainants are informed of the complaint resolution options available to them and to maximize opportunities for alternative resolution. Over the years, the department has worked with the Human Rights Program to develop a mediation and advocacy program that has had a number of successes and is not significantly different in its function than the model programsexamined nationally. However, there is a sense that the existing program has not reached its potential and after several years in effect, may benefit from an evaluation. The commission supports the current practices of offering formal mediations, facilitated conversations, and/or advocacy support for certain complaints to promote understanding of interactions and promote respectful communication and accountability for each person’s actions. The commission agreed at its May 12, 2005, meeting to appoint a task force of Police Commission, Human Rights Commission, and community stakeholders to look at current practices and make proposals regarding the enhancing the role of mediation and advocacy in the complaint process. Specifically, the task team will determine which entity should manage the mediation program and coordinate actual mediations, whether mediators should be hired on contract, whether mediation should preclude the use of the regular complaint process, and how community advocates may best be utilized in the process. The task teamwill include interested commission members, HRC staff and volunteers, and other key stakeholders, such as Community Mediation Services. 16 Police Complaint System and Civilian Oversight Recommendations In the interim, the commission recommends the following improvements: Reconsider and develop more specific definitions of “mediation” and “facilitated o conversation” Formalize procedures for which types of complaints can be mediated and who o decides which complaints are appropriate for alternative resolution Develop procedures for how advocates are involved in complaint intake, investigation o and alternative resolution options Improve data collection and tracking of mediations/facilitated conversations so that o the number and types of complaints that were resolved through alternative resolution processes and how successful those efforts were can be evaluated Integrate alternative resolution options into the complaint process (promote/share info o about mediation and advocacy options, etc.) and increase publicity and outreach for mediation both internally and to the public. Auditor Role in Monitoring Investigations Investigation Assignment The auditor’s office screens and classifies complaints to determine if the issue is a misconduct allegation that will require an internal investigation. The Police Commission believes that there is certain subset of internal investigations that, due to the nature of the complaint, are of high public interest and require the utmost scrutiny to ensure a fair and credible outcome. The auditor will identify these complaints as “community impact cases,” which will include, at a minimum, excessive force, violation of constitutional rights, and bias/disparate treatment allegations. The review process for “community impact” cases is discussed later in this report. In the preliminary review of an allegation of misconduct, the auditor maydecide that to reduce the potential for real or perceived bias, the investigation should be conducted by an external entity. In authorizing the auditor to require external investigations, the commission recommends that criteria are developed to guide the auditor in making such decisions and that a source of trained, outside investigators is identified. Allegations that involve possible criminal offenses will be routedto the Chief of Police with a recommendation for District Attorney involvement. The auditor will not be directly involved in any criminal investigations but will have access to the case files relevant to the administrative portion of the allegation and as part of his/her role in systemic review. The auditor will route all other allegations, including “community impact cases”, to the internal affairs unit for investigation. Case Monitoring The auditor will actively monitor on-going investigations to ensure a thorough, objective, and timely process and a high quality end product. This requires that the auditor have unfettered access to all relevant investigative materials, an authority which the commission believes should 17 Police Complaint System and Civilian Oversight Recommendations be specified by ordinance. The Police Commission recognizes that the auditor’s level of involvement in a specific case will depend on the type of allegation. For instance, internally- generated investigations that involve employee performance issues may not merit the same attention and resources as other cases, but these decisions need to be made on a case-by-case basis. In the course of monitoring an open investigation, the auditor may sit-in on and participate in investigative interviews involving employees, complainants and/or witnesses. A policy statement may be necessary to clarify that employees are required to cooperate fully with the investigative process and the auditor as part of that process. In his/her review of an investigation, the auditor may require additional investigation by internal affairs staff to ensure that, to the extent feasible, all relevant investigative leads were explored and the facts of the case have been fully established. Additionally, if while monitoring a case, the auditor believes that the standards for a high quality investigation are not being met, the auditor can contract with an outside entity to assume the investigation. Adjudication Recommendations Once the investigative portion of the complaintreview is complete, all case materials will be provided to the auditor. The auditor will make every reasonable effort to contact the complainant to let him/her know that the investigation is complete, summarize the case findings, and determine if the complainant has any additional information to share relevant to the case. One of the objectives of this contact is to promotea better understanding of the process and options available to the complainant, including possible involvement of the review board once the case is closed. Also, if new information is provided during this contact, the auditor can then direct further investigation. If the auditor is satisfied that the investigation is complete at this point, s/he will meet with the involved employee’s supervisor to develop a case adjudication recommendation that will then be forwarded up the chain of command to the Chief of Police. Any disagreements on the adjudication recommendation between the auditor and the command staff will be documented and forwarded to the Chief. Final adjudication and discipline decisions rest with the Chief of Police. An associated effort pertaining to case adjudications was to review the existing disposition terms and determine if other adjudication types and/or names would help complainants better understand the outcome of their complaint. It is important to note that these terms apply only to complaints that have undergone an investigation; these definitions do not apply to complaint outcomes that, after being classified, are processed without a formal investigation. The revised adjudications being recommended are as follows: 1) Sustained : The complainant’s allegation(s) were determined to be a violation of EPD’s policies, rules, and/or procedures and, by a preponderance of the evidence, the employee(s) involved committed the violation as alleged. 1 2) Insufficient Evidence : The chain of command was unable to determine, by a preponderance of the evidence, whether or not a violation of EPD’s policies, rules, and/or procedures occurred. 1 Replaces “Not Sustained” 18 Police Complaint System and Civilian Oversight Recommendations 3) Unfounded. :The claim is unsubstantiatedIt wasdetermined by a preponderance of the evidence that the employee(s)involved did not engage in the behavior as alleged by the complainant. 2 4) Within Policy : It was determined, by a preponderance of the evidence, that the behavior of the employee(s) involved did occur but was consistent with EPD policies, rules, practices and/or procedures. 5) Mediated :During the process of an investigation, it was determined that the case would likely be more successfully resolved through mediation; all parties agreed to mediate the complaint and the mediation process was completed. 6) Inactive :The investigation cannot proceed forward without additional information. The investigation may be reactivated upon the discovery of new, substantive information or evidence. 7)Administratively Closed: The investigation is closed prior to reaching a conclusion. For instance, the complainant does not provide the information needed or refuses to cooperate with the investigation. Systemic Review One of the primary strengths of the auditor modelas proposed is to afford additional analytical capacity that is not merely focused on individual complaints but strives towards systemic evaluation of the complaint process and departmental practices in general. In furtherance of this objective, the commission recommends that the auditor: be summoned to the scene of critical incidents to enable first-hand knowledge of high o profile events should a complaint ensue; participate in deadly force review boards (contingent on the result of SB301) o review risk/tort claims and develop risk/liability reduction plans o The City Manager’s contracted annual audit of closed internal affairs investigations would no longer be necessary if the auditor model proposed is implemented. The commission has found through its research that the ability to influence police policy is one of the strongest accountability measures. Whilethis authority may be vested in either the auditor’s office or the review board, experience nationally has indicated that the volume of complaint investigations tends to diminish thecapacity to conduct thorough policy reviews. As such, the Police Commission recommends that it is retained as the department’s policy review body and that the auditor is charged with reporting any policy issues to the commission. The auditor’s office will also develop an annual report of its workload, case handling and investigative recommendations and suggestions for procedural improvements. The report may also evaluate discipline decisions for consistency across personnel and relevant to specific violations. The annual report should highlight any situations where the auditor recommended actions that were not supported by the Chief of Police and how those disagreements were resolved. The annual report should also enable both the review board and City Council to assess the performance of the auditor’s office to ensure that it is functioning as intended. 2 Replaces “Exonerated” 19 Police Complaint System and Civilian Oversight Recommendations Civilian Review Board Role Individual Case Review A fundamental responsibility of the review board is to oversee the work of the auditor’s office and, from a civilian perspective, ensure that the case recommendations developed promote high quality, objective investigations. The board’s oversight function can occur in two ways. First, the auditor’s office will develop quarterly reportsfor board review that document the auditor’s case handling decisions, input on investigations, adjudication recommendations, and identification of departmental procedure and/or training issues.The board may also participate with the auditor in more specific, periodic evaluations of the complaint system. These may include satisfaction surveys from complainants and other involved parties, case handling audits, and investigation trends analysis, etc. Secondly, the board can review closed investigations upon request of the complainant, at its own discretion through a majority vote of board members, or by the auditor’s recommendation. Additional criteria to guide board decisions to accept or decline the review request should be developed. For example, can police employees request the board review a case or should they be required to use the established grievance procedures? The closed case review is prospective in nature, the focus of which is to establish if the complaint system worked as intended in that particular case and to develop recommendations for process improvements. The board’s case findings will be provided to the auditor and Chief of Police. If the board agrees to a closed case review, it will be provided access to the full investigative file so that it can make a reasoned judgment about the quality of the investigation and the rationale for the case disposition. To enable more transparency into the process, actual discussion of the closed case will occur in a public meeting. A case summary that redacts identifying information will be provided at the meeting to protect confidentiality of involved employees. More formal procedures for closed case reviews in a public setting will need to be developed (i.e., auditor/lead investigator reporting requirements, questions and comment period, public input, etc.). The board, in turn, will develop and present an annual report to the Mayor and City Council evaluating the auditor’s work, assessing whether the auditor’s office is functioning as intended, and recommending improvements to current policies and procedures. The report will also note concerns about complaint investigations and/or the adjudication recommendation made by the auditor, which may precipitate policy and practice changes as directed by the Council and/or indicate deficiencies in performance expectations within the auditor’s office. Community Impact Cases The commission had a thorough discussion on the function of the review board as it related to monitoring “community impact cases.” The commission had considered a model where the board had access to these cases prior to the adjudication decision so that its comments and recommendations could be formulated and shared before the outcome of the case was decided. However, upon City Attorney review of this process, the commission recognized several significant risks with the proposal: 20 Police Complaint System and Civilian Oversight Recommendations Board members would have access to case information that, if purposely or inadvertently o released to others, can breach the integrity of the investigation; For the board to have a meaningful discussion on an open case while protecting o confidential information, it would need to meet in executive session, which compromises the transparency of the board’s deliberations and actions; Even if conducted in executive session, board members’ actions and statements directly o and indirectly related to the case can be called into question in an arbitration setting. It will be more difficult for the city to sustaindiscipline because it will have to prove that the board’s involvement (or individual member’s actions) did not influence the Chief’s adjudication decision. The commission reconsidered this model in light of these issues and approved a substitute process whereby the review board would have access to closed investigations, but have the authority to re-open the investigation with cause. It was agreed that the alternative proposal mitigated some of the most serious issues without compromising the impact of the board in these high profile cases. The review board’s function in community impact cases is described below. Investigations that meet the pre-determinedcriteria for a community impact case will be provided to the board upon adjudication of the complaint, but prior to a discipline decision if the case is sustained. The board would receive both sustained and un-sustained community impact case investigations. As a starting point, community impact cases will include allegations of excessive force, bias/disparate treatment and allegations that involve violation of constitutional rights. A formalized definition will need to be developed as a matter of policy. The board would have full access to all investigative materials related to these cases, in a non- 3 public setting, in preparation for discussion of the case in a public meeting. The board will then convene to discuss the quality of the investigation and the outcomeof the case with the auditor/lead investigator, and based on its discussions, could: -Concur with the adjudication; and/or -Develop findings regarding possible improvements about the investigative process, complaint handling practices, and/or other police procedures relevant to that case; and/or -Find that there were deficiencies in the investigation that impacted the outcome of the case, or that the adjudication was not supported by the facts in the case, and vote to re-open the case to examine those areas. Unless the board votes to re-open the investigation, if the complaint was sustained, the case would proceed to the discipline phase. If the board requires further investigation, the auditor would report back to the board on the outcome of any additional investigation and whether the adjudication was modified. The board would have access to that portion of the investigation after it was completed and can develop a final set of findings on the entire case at that point. The complainant would not be able to request any further review of “community impact” cases. However, complainants will still be able to request the board to conduct a prospective review of 3 Cases where the complaint is sustained couldnotbereviewed in a public meeting under the currentEPEA contractual agreement. 21 Police Complaint System and Civilian Oversight Recommendations other types of closed cases. It will be the auditor’s responsibility to alert complainants that their case will be automatically reviewed by the board as a matter of policy for community impact cases, and will notify complainants of their ability to request review by the board in other types of cases. Board Membership Recommendations The commission strongly believes that the success of the proposed model rests in large part on the quality of community volunteers that serve on the board. A high level of integrity and discipline will be required, as will the ability to review cases impartially, acting primarily as fact finders. The commission has developed the following board membership and selection process parameters: A smaller board size comprised of 5-7 members is recommended to maintain a highly o effective and qualified membership. The existing enabling ordinance for the Police Commission already provides that one member of the review board is appointed to serve as a member of the commission to facilitate information exchange. Members should serve 4-year staggered terms, with a two-term limit (some members o preferred 3-year terms). Members must be age 18 or olderand must meet residency requirements (residency within o the urban growth boundary and city limits were both discussed, but a decision on which requirement was preferred was not reached). Real and perceived impartiality is critical to the credibility of the board. As such, city o employees are not allowed to serve, nor should direct family members of police employees. Those with felony convictions should also be prohibited from serving on the board. Additional recommendations for background qualifications, skills and training requirements will be developed once the function of the board and its reporting relationships are decided. Selection of members should strive to be reflective of the community, but should not be o based on representing a particular constituency (council wards, special interest groups, neighborhoods, etc.). Instead, members should be selected based on a demonstrated ability to be fair and impartial. The Mayor should develop and oversee the selection process, possibly in consultation with o the auditor, so that it includes broad community participation in application screening process. The community panel would review applications and select a slate of candidates for City Council’s consideration. However in making the board appointments, Council may select an applicant outside the selection panel’s recommended candidate pool. Procedures for removal of members after appointment should be developed. o The commission agreed that to protect the board from outside influence, the Chief should not o serve in an ex-officio capacity on the board, nor should any city officials have specific nominating authority for board members. 22 Police Complaint System and Civilian Oversight Recommendations VI. Oversight Model Frequently Asked Questions 1.What is a hybrid police oversight system and why was it selected? A hybrid system combines two distinct components into one system. In this case, the two components are a professional police auditor and a civilian review board. The commission is recommending a hybrid system of civilian oversight to build on the strengths of each component to best meet the community’s expectations. The full time auditor monitors investigations for quality assurance and identifies systemic changes needed to improve the overall performance of the organization. The civilian review board creates opportunities for community members to review and comment on how the department investigates and responds to complaints, promoting a fair and transparent process. 2.Whatmakes this model independent of the police department? To ensure structural independence of the oversight system, the commission recommends that the auditor be hired and report to the City Council, and that the City Council, with community input, appoints the review board members. The auditor’s office will provide the staff support to the review board. So while the auditor and his/her staff are city employees, they will not be employed by the police department, physically located in the police department, or supervised by the Police Chief. 3.How does this model assure that all complaints are handled appropriatelyand that complainants are protected from retaliation? The intake and classification of complaints, which determines how a complaint is handled, will no longer occur within the police department. Instead, based on clear protocols, the auditor’s office will decide how a complaint would be classified. The review board will monitor these decisions through review of quarterly reports. In addition, the ability to lodge complaints in the auditor’s office is intended to provide a safe and neutral environment for complaint intake. People who are still anxious about the possibility of some form of retribution for filing a complaint may choose to lodge their concerns anonymously. Anonymous complaints will be taken seriouslyand will be classified. However, the auditor will not be able to conduct follow-up communications with an anonymous complainant. 4.Why does this system still allow police to investigate police? One of the fundamental values for the complaintsystem is the desire that investigations are impartial, thorough and fair. Misconduct investigations, which carry the possibility for discipline up to and including employee termination, must meet rigorous standards for objectivity and integrity. The outcome must be based on a preponderance of evidence. For these reasons, the commission believes that the investigations should be conducted by trained professionals, but monitored for quality assurance by an outside, independent civilian employee, i.e., the auditor. To help protect these investigations fromreal or perceived bias, the commission is also recommending that the involved employee’s supervisor no longer conduct internal investigations. Instead, the internal affairs unit should be restructured so that it has the capacity to conduct investigations of employee misconduct. 23 Police Complaint System and Civilian Oversight Recommendations 5.Who decides the outcome of my case and what if I disagree? In an effort to achieve the best possible outcome, the proposed oversight system offers multiple resolution options. In reviewing your complaint, the auditor will determine if your case should be handled at the line supervisor level, is appropriate for alternative resolution, or requires a misconduct investigation. If an internal investigation is required, the auditor will monitor the case and develop an adjudication recommendation. Ultimately, the Chief of Police will determine the disposition of internal investigations and if the allegation is sustained, what level of discipline is warranted. If you disagree with the outcome, you can request that the review board take another look at your case to ensure that the investigation was thorough and fair and that the adjudication decision was consistent with the facts of the case. 6.Isn’t subpoena power necessary to compel police officers to provide information needed by the board to review my case? The review board will have access to the full investigative file, which will include taped interviews with the involved officers. Therefore, the commission determined that compelling testimony was unnecessary to access the information needed to review an investigation. 7.How do I know what type of discipline occurred in my case? You will be notified of the adjudication decision and if discipline will be imposed. However, the type of discipline cannot be disclosed. Oregon public records law dictate that employee discipline records be treated confidentially and are not open to the public. The auditor will develop an annual report that will show the number and type of allegations investigated, the adjudication decisions, and type of discipline rendered. In this way, the public will have access to statistical information that explains the outcome of investigations and meets confidentiality requirements. 8.Does this model require a vote to implement? An amendment to the existing city charter will be required to enable the City Council to hire the auditor and appoint review board members. City charter amendments require an affirmative vote of the public. However, if the charter amendment vote fails, the model can be implemented under the City Manager’s purview with largely the same role and responsibilities. 9.How much will thissystemcost? Once the oversight model is finalized, a budget will be developed that includes staffing for the auditor’s office (approximately 3 FTE).Other costs associated with the model’s implementation include additional investigativecapacity in the internal affairs unit, and training and other requisite support for the board to operate effectively. 10.Will the police union oppose a civilian oversight system in Eugene? The Eugene Police Employees Association (EPEA) has voiced support for additional oversight that is accountable to the public and respectful of the rights of police officers. The EPEA has a responsibility to ensure that the due process rights of its membership are 24 Police Complaint System and Civilian Oversight Recommendations protected in any new system that is implemented. In the commission’s proposed model, there are several elements that will require negotiation with the union to enable the contractual changes necessary to implement the system. 11.How will members of the review board be selected to ensure broad community representation? The police commission believes that the reviewboard’s success lies in its ability to be impartial. To achieve this, the review board membership should reflect the community, but not be appointed to represent any particular constituency or organization. The commission has suggested a selection process that involves a Mayor-appointed community panel that will screen applications using a set of standard criteria, and forward a pool of candidates for City Council consideration. If the charter amendment passes, the City Council will ultimately make the review board member selection decisions. 12.How will we know if the oversightsystem is effective? Experience in other communities indicates that civilian oversight systems are continually evolving as direct experience grows and national best practices are established. A robust database will be developed as part of the system to enable tracking and analysis of complaints as they move through the system. The commission plans to evaluate the complaint system six months and a year after implementation to determine where improvements are needed. This may include both a review of the data collected and satisfaction surveys of people involved in the system (review board members, police employees, complainants, etc.). VII. Outstanding Issues and Next Steps Jurisdiction of Oversight Model One of the overarching, but unresolved, issues surrounding the oversight proposal is a determination of which police department employees would be subject to the new procedures. There are several key issues to consider when making a decision regarding the scope of authority for the oversight system. The unique role and broad authority police officers have, which in turn has the most potential for abuse of power and community impact, is the primary impetus for additional civilian oversight. It is this role that distinguishes police officers from other city employees. Therefore, an oversight system that applies to sworn officers only would be a reasonable and practical delineation, and not inconsistent with the direction taken in other communities. However, another underlying principle is the desire to facilitate systemic change in the police organization. Limiting the scope of authority for both the auditor and the board to reviews of sworn employees may counteract this objective. Other key considerations include: Providing a consistent process across employees who work in the same units or have o the same job functions within the city; Applying oversight resources where they will be most effective; o 25 Police Complaint System and Civilian Oversight Recommendations Creating a system that is not overly confusing to the public or procedurally o complicated to maintain; and Developing a system that has credibility to employees and the public. o rd The commission discussed this issue at its June 23 meeting and considered five options for determining which employees the oversight system had jurisdiction over. It narrowed the options to the following two categories for City Council consideration. Categories of Employees Covered Considerations 1) All EPD employeesSimplicity and consistency in procedures within the department; however, it would create inconsistency among AFSCME represented employees and non-sworn, non- represented employees City-wide; requires negotiation with two bargaining units. 2) Auditor’s role would include complaint Maintains consistent, simple process for intake intake for all EPD employees, access to all and allows the auditorto be aware of and EPD records and ability to monitor all identify issues regarding investigation of all investigations; review board’s authority is employees; targets oversight resources on sworn employees. Board would be kept complaints that normally have highest liability apprised of all complaints through auditor’s and community interest. quarterly reports. Governance Issues Another key decision point for the Council’s consideration is whether it will seek voter approval for a charter amendment to implement the model as proposed by the commission, and if so, the timing for the election. The commission considered the following points when deciding whether the oversight bodies should report directly to the City Council: Costs and timing constraints to enable a November 2005 ballot initiative o Uncertainty of the election results may delay model implementation o Structural independence for the auditor maybe necessary to make decisions that may o not be otherwise supported by city management Review board will become a governing body per the public records law and subject to o open meetings requirements; other legal and contractual issues Model may have more credibility with the public, but is not likely to gain the support o of the police union More potential for politicizing the complaint process if oversight entities report to o elected officials Tangential issues associated with modifying the current city manager/council form of o government The commission agreed that the credibility of the oversight system required that it have structural independence and voted unanimously to recommend that the City Council hire the auditor and appoint the citizen review board. 26 Police Complaint System and Civilian Oversight Recommendations Next Steps The Police Commission’s report is intended to be a comprehensive description of its proposed complaint system. However, as a conceptualmodel, the commission recognizes that multiple procedural refinements will be necessary prior to implementation. One area that will need considerable attention is the design of a robust data collection and case tracking/reporting system that can be utilized by boththe auditor’soffice and the internal affairs unit to This database should support a rigorous initial assessment flag personnel, policy and training issues. and continual evaluation to identify where adjustments are needed so that the complaint system maintains relevance to current needs and expectations and meets established outcomes for effectiveness. Complaint records retention procedures should be reconsidered as part of the system design. The commission also recommendsthat the data collection and reporting system be designed to facilitate the seamless integration of an early intervention system in the future. The implementation of a formal early warning system to identify officers who may need intervention and assistance is one that the commission believes holds promise and is related, but adjunct, to the immediate revisions to the complaint process. This is a topic that merits a thoughtful and collaborative process that involves police department managers, human resources staff and the EPEA, and could be included as a project in a future police commission work plan. The Police Commission’s proposed oversight model mitigates many of the major legal and contractual obstacles that would have required resolution prior to implementation. Nonetheless, if the Council moves forward with the model as proposed, there are issues that will require negotiation with the EPEA, revolving mainly around maintaining confidentiality of records and public meetings. Other outstanding issues identified at this time that the Police Commission can address, if requested, include: Whether the board should have the ability to audit a random selection of closed cases in o addition to those that are brought before it by the complainant? Better defining the relationship between the review board, the auditor and the Police o Commission, i.e., does the role of the commission alter in any significant way? Hiring decisions around the auditor position including: o should the auditor be hired as an at-will employee? o should there be specific removal procedures to protect him/her from unpopular o decisions (i.e., requiring a super-majority vote of council?) should the auditor be hired prior to finalizing the enabling ordinance and policies o so that s/he can assist in formulating the operating procedures for the auditor’s office and review board? Should the commission participate in developing the hiring process and criteria o for selection of the auditor? To what extent should the commission be involved in the design of a system evaluation o tool and actual assessment of the oversight system after implementation? 27 Police Complaint System and Civilian Oversight Recommendations Upon review and discussion of the recommendations contained in this report, the commission is happy to assist in resolving these and other outstanding issues with the input and direction from City Council. VIII. Attachments Attachment A. Police Complaint System and Civilian Oversight Project: Commission Research Material List Attachment B. ComplaintProcess Public Forum Summary Attachment C. July 12, 2004 and May 10, 2005 Memos to Police Commission from EPEA President Willy Edewaard Attachment D. May 17, 2005 Memo to Police Commission from City Manager Dennis Taylor on Proposed Oversight System Attachment E: Police Commission OversightSystem Decision Points: Commissioner Voting Record Attachment F. July 21, 2005 Memo to Police Commission from Communities United for Better Policing Attachment G. July 14 Memo to Police Commission from Human Rights Commission Attachment H. 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