Auditing Police Accountability Systems
Auditing Police Accountability Systems Justin Anderson, Senior Management Auditor Brooke Leary, Senior Principal Management Auditor Association of Local Government Auditors May 4, 2015
King County
2
Introduction Our experience: • Previous audits of law enforcement oversight in King County, 20082014 • Ongoing audit of law enforcement oversight 3
Introduction Our experience: • Previous audits of law enforcement oversight in King County, 20082014 • Ongoing audit of law enforcement oversight
Your experience: • Audits of law enforcement oversight? • Audits of other law enforcement issues? • Discuss with a neighbor
4
Learning objectives Enhanced knowledge of law enforcement oversight Ideas for potential audits Ideas for potential methodology Thoughts on how to mitigate challenges associated with auditing law enforcement oversight • Resources • • • •
5
What is law enforcement oversight?
Is it legal?
It is within policy?
Does policy make sense?
6
Law enforcement oversight… …comes in two basic forms:
Internal Oversight
External Oversight
7
Internal law enforcement oversight • Internal investigations • Personnel reviews / performance appraisals • Early warning systems • Internal audit 8
External law enforcement oversight • Judicial oversight – includes criminal prosecution
• Jurisdictional oversight – includes civilian oversight 9
Law enforcement oversight varies widely • Form and function of oversight depend on jurisdiction, department, community • Estimated 15,000+ individual law enforcement departments in the United States • Every civilian oversight function is unique 10
What drives oversight? • Community complaints • Internal complaints • Independently-initiated inquiry • Media • Review boards 11
Complaints fundamentally drive oversight! • Both internal and external oversight rely on complaints
12
Types of civilian oversight • National Association of Civilian Oversight of Law Enforcement (NACOLE) categories: – Investigative – Monitoring – Auditor/Ombudsman
• Most civilian oversight functions are hybrids 13
What is an “auditor”? • Can mean different things to law enforcement and civilian oversight communities
14
King County audits law enforcement oversight • Mandated to audit law enforcement oversight in King County Code – Includes internal and external oversight
• Major concerns with civilian oversight function in King County 15
Why audit oversight? • Civilian oversight is evolving/growing • Public attention and interest • Can help remove potential barriers to oversight • Building rapport and support for oversight • Most importantly… 16
…The train has left the station
17
Potential audit topics • Systemic issues in oversight structure – Goals of oversight aligned with system?
• Components of oversight structure – Training – Complaint intake and processing 18
Challenges
19
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 20
…Processes can be extremely complex
21
…Your credibility may be questioned • Understanding legal issues • Understanding investigations • Only law enforcement understands law enforcement 22
…Often connected to collective bargaining • Ties between oversight and potential for discipline, monitoring, etc. • Often provisions already included within collective bargaining agreements 23
…Criteria can be lacking • Very difficult to make comparisons with other jurisdictions • Usual “criteria tricks” don’t apply – No easy best practices with many aspects 24
…Often highly political • Political barriers (e.g., “support for cops” versus “support for community”) • Community attention on police behaviors • Lack of understanding of roles and procedures 25
…Often a high level of media attention
26
…Recommendations and timing • Implementable recommendations • Where to direct recommendations • Audit timing
27
Potential solutions
28
Narrow your scope • Consider narrowly defined scope • Successful law enforcement audits – Portland officer training audit – Seattle public disclosure process audit – Fairfax County administrative investigations audit 29
Potential solutions 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 30
Focus Groups
31
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 32
Knowledgeable experts can help • Use experts to develop criteria – Survey – Expert panel
• Experts can address pros and cons of oversight practices 33
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 34
Knowledgeable consultants can help • Consultants with expertise in audit areas – Investigations – Policing best practices – Police training
35
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 36
Risks of using experts and consultants • Perspective of experts can be driven by role (e.g., civilian oversight vs. police officer) • Can raise profile of audit • May not understand GAGAS and how that impacts their work 37
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 38
Benefits of experts can outweigh risks
39
Solutions • • • •
Narrow your scope Include law enforcement perspectives Ask experts Use consultants
Month 00, 2010
Committee
40
Resources • National Association for Civilian Oversight of Law Enforcement (NACOLE): www.nacole.org • US Dept. of Justice COPS Office: http://www.cops.usdoj.gov – President’s Task Force on 21st Century Policing: http://www.cops.usdoj.gov/pdf/taskforce/Interim_TF_Report.pdf – National Institute of Justice Citizen Review of Police: https://www.ncjrs.gov/pdffiles1/nij/184430.pdf
• Samuel Walker, PhD: http://samuelwalker.net/ 41
Learning objectives • • • • •
Enhanced knowledge of law enforcement oversight Resources Ideas for potential audits Ideas for potential methodology Thoughts on how to mitigate challenges associated with auditing law enforcement oversight 42
Thank you
Questions?
43
King County
2
Introduction Our experience: • Previous audits of law enforcement oversight in King County, 20082014 • Ongoing audit of law enforcement oversight 3
Introduction Our experience: • Previous audits of law enforcement oversight in King County, 20082014 • Ongoing audit of law enforcement oversight
Your experience: • Audits of law enforcement oversight? • Audits of other law enforcement issues? • Discuss with a neighbor
4
Learning objectives Enhanced knowledge of law enforcement oversight Ideas for potential audits Ideas for potential methodology Thoughts on how to mitigate challenges associated with auditing law enforcement oversight • Resources • • • •
5
What is law enforcement oversight?
Is it legal?
It is within policy?
Does policy make sense?
6
Law enforcement oversight… …comes in two basic forms:
Internal Oversight
External Oversight
7
Internal law enforcement oversight • Internal investigations • Personnel reviews / performance appraisals • Early warning systems • Internal audit 8
External law enforcement oversight • Judicial oversight – includes criminal prosecution
• Jurisdictional oversight – includes civilian oversight 9
Law enforcement oversight varies widely • Form and function of oversight depend on jurisdiction, department, community • Estimated 15,000+ individual law enforcement departments in the United States • Every civilian oversight function is unique 10
What drives oversight? • Community complaints • Internal complaints • Independently-initiated inquiry • Media • Review boards 11
Complaints fundamentally drive oversight! • Both internal and external oversight rely on complaints
12
Types of civilian oversight • National Association of Civilian Oversight of Law Enforcement (NACOLE) categories: – Investigative – Monitoring – Auditor/Ombudsman
• Most civilian oversight functions are hybrids 13
What is an “auditor”? • Can mean different things to law enforcement and civilian oversight communities
14
King County audits law enforcement oversight • Mandated to audit law enforcement oversight in King County Code – Includes internal and external oversight
• Major concerns with civilian oversight function in King County 15
Why audit oversight? • Civilian oversight is evolving/growing • Public attention and interest • Can help remove potential barriers to oversight • Building rapport and support for oversight • Most importantly… 16
…The train has left the station
17
Potential audit topics • Systemic issues in oversight structure – Goals of oversight aligned with system?
• Components of oversight structure – Training – Complaint intake and processing 18
Challenges
19
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 20
…Processes can be extremely complex
21
…Your credibility may be questioned • Understanding legal issues • Understanding investigations • Only law enforcement understands law enforcement 22
…Often connected to collective bargaining • Ties between oversight and potential for discipline, monitoring, etc. • Often provisions already included within collective bargaining agreements 23
…Criteria can be lacking • Very difficult to make comparisons with other jurisdictions • Usual “criteria tricks” don’t apply – No easy best practices with many aspects 24
…Often highly political • Political barriers (e.g., “support for cops” versus “support for community”) • Community attention on police behaviors • Lack of understanding of roles and procedures 25
…Often a high level of media attention
26
…Recommendations and timing • Implementable recommendations • Where to direct recommendations • Audit timing
27
Potential solutions
28
Narrow your scope • Consider narrowly defined scope • Successful law enforcement audits – Portland officer training audit – Seattle public disclosure process audit – Fairfax County administrative investigations audit 29
Potential solutions 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 30
Focus Groups
31
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 32
Knowledgeable experts can help • Use experts to develop criteria – Survey – Expert panel
• Experts can address pros and cons of oversight practices 33
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 34
Knowledgeable consultants can help • Consultants with expertise in audit areas – Investigations – Policing best practices – Police training
35
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 36
Risks of using experts and consultants • Perspective of experts can be driven by role (e.g., civilian oversight vs. police officer) • Can raise profile of audit • May not understand GAGAS and how that impacts their work 37
Seven challenges 1. 2. 3. 4. 5. 6. 7.
Complex processes Credibility Collective bargaining/labor issues Criteria Politics Media Recommendations and timing 38
Benefits of experts can outweigh risks
39
Solutions • • • •
Narrow your scope Include law enforcement perspectives Ask experts Use consultants
Month 00, 2010
Committee
40
Resources • National Association for Civilian Oversight of Law Enforcement (NACOLE): www.nacole.org • US Dept. of Justice COPS Office: http://www.cops.usdoj.gov – President’s Task Force on 21st Century Policing: http://www.cops.usdoj.gov/pdf/taskforce/Interim_TF_Report.pdf – National Institute of Justice Citizen Review of Police: https://www.ncjrs.gov/pdffiles1/nij/184430.pdf
• Samuel Walker, PhD: http://samuelwalker.net/ 41
Learning objectives • • • • •
Enhanced knowledge of law enforcement oversight Resources Ideas for potential audits Ideas for potential methodology Thoughts on how to mitigate challenges associated with auditing law enforcement oversight 42
Thank you
Questions?
43
