OAKLAND POLICE DEPARTMENT

OAKLAND POLICE DEPARTMENT INTERNAL AFFAIRS DIVISION ANNUAL REPORT YEAR 2011 DEDICATED TO HONESTY, INTEGRITY AND FAIRNESS

IAD Management and Annual Report Year 2011 FOREWORD The Internal Affairs Division is tasked with monitoring and maintaining the integrity of the Oakland Police Department. Additionally, the Division tracks and stores Use of Force Reports, provides training Department wide, and other administrative support. There is an absolute right for a citizen to voice a complaint when they feel wronged by a member, employee, or policy of the Department. To deny this right serves only to pull the Department away from the citizens it serves and inflicts long-term damage to the Community-Department relationship. Every contact made in this Division is an important opportunity for a member of our team to provide service to the community. Indeed, these are opportunities to bridge gaps in communication; to explain a policy or procedure; to show the Department cares about a citizen s concerns; or simply an opportunity to empathize with a person who has had a negative encounter involving the Department. When we discover misconduct, we take actions to prevent future misconduct. The corrective action ranges from formal discipline commensurate with the misconduct and/or training. These are situations to stand for the principles found in the Law Enforcement Code of Ethics and the Department s Core Values. While at times difficult, these occasions are opportunities to maintain the integrity and values of the Department, to identify policy failures, to save a career or even a life. This Division also serves the members and employees, by conducting fair and thorough investigations in an ethical manner. This also protects their credibility and professionalism when their actions comport with professional and ethical standards. One cannot underestimate the positive impact a fair and objective, fact-finding investigation will have on all those involved, as well as the Department itself. The staff at the Internal Affair Division has been given an opportunity to make a positive difference within the Department and the Oakland Community. Additionally, assignment to the Internal Affairs Division means the Chief has placed great faith in our integrity and unwavering dedication to ethical principles. We endeavor to meet the high standards and honorably serve the Department. Paul Figueroa Captain of Police Internal Affairs Division ii

IAD Management and Annual Report Year 2011 TABLE OF CONTENTS Mission Statement...1 Introduction...2 Role of the Internal Affairs Division...3 Internal Affairs Division Staffing...4 Organizational Structure...4 IAD Organizational Chart...4 IAD Staffing Data...4 Staffing Assignments for 2010...5 Other Staffing Data...5 IAD Staff Members... 6-7 Internal Affairs Division Fiscal Management Reports...8 Budget Appropriations and Expenditures from the Preceding Year...9 Internal Affairs Division Training Received and/or Provided...9 Significant Internal Affairs Division Accomplishments... 10-11 Other Data Awards to Staff Members...12 Internal Affairs Division Productivity Performance Data...12 List of Charts and Graphs: Complaints Received 2001 2010:...13 Allegations by MOR in 2010:...13 UOF Allegations by Level in 2010:...14 Findings for Allegations 2010...14 IAD Cases Handled by IAD Compared to Division Level Investigations...15 Other Internal Affairs Division Performance Data...15 State of the Unit...16 iii

MISSION STATEMENT The Internal Affairs Division of the Oakland Police Department is committed to protecting and defending the constitutional rights of all community members, as well as the integrity of the Department and individual members/employees. It is our mission to provide professional service to every member of the community by conducting thorough, impartial, and ethical investigations regarding allegations of misconduct and policy failures within the Department. We treat each citizen, member, and employee with fairness, dignity and respect at all times. It is through our commitment to honor and integrity that we uphold the core values of the Oakland Police Department. Captain Paul Figueroa 1

INTRODUCTION During 2011, the Internal Affairs Division (IAD) maintained a steadfast commitment to uphold the core values of the Oakland Police Department by conducting fair, objective and impartial administrative investigations. The men and women of the Division worked tirelessly in their effort to consistently provide the Department personnel and the community a means of investigating, uncovering, and resolving issues of concern. The IAD took on new challenges in 2011 as the staff worked diligently to ease the burden on other divisions. Officers continued to work flexible hours allowing the IAD s business hours to include 0600-1800. The IAD continued to take certain complaints directly from the Communications Division, the Police Administration Building, and the Eastmont Station, eliminating the need for a field supervisor to handle those complaints. The staff of the IAD looks forward to 2012, and the opportunity to further refines the IAD processes for effectiveness and efficiency. This Annual Report covers the period of January 1, 2011, through December 31, 2011, and summarizes performance data, accomplishments, and challenges for the IAD over the past year. The Report s contents and production are outlined in Departmental General Order A-7, Annual Management and Departmental Report. Lt. Danielle Outlaw 2

ROLE OF THE INTERNAL AFFAIRS DIVISION The primary function of the Internal Affairs Division is to accept, process, and investigate complaints from any source alleging misconduct by Departmental personnel. Additionally, the IAD investigates firearm discharges and certain critical incidents involving death and serious injury. The IAD investigations identify policy violations, training needs, equipment failures, and recommendations for policy revisions. The Division supports and plays a key role in the implementation and sustainment of the Memorandum of Understanding (MOU). Departmental Values and the Law Enforcement Code of Ethics serve as our guiding philosophy. The Departmental Strategic Plan serves as the roadmap to achieve these goals. The IAD is committed to creating a sustainable relationship based on trust and integrity with citizens in the community as well as the Oakland Police Department (OPD) and other City of Oakland personnel. Complaints received by the IAD are investigated, and the findings of these investigations are reported back to the complaining citizen or personnel as well as the accused employee(s). Discipline recommendations are also administered by the IAD. The Division responds to subpoenas and requests for records involving claims against the Department. The Division also supports the requests of the Citizen s Police Review Board (CPRB), outside investigators, and the Office of the City Attorney (OCA) in providing pertinent information pertaining to civil suits. The IAD is designated as the custodian of records for Use of Force Reports and Pursuit Reports. As the keeper of records, the IAD performs additional essential duties, which involves maintaining a separate database for each type of report. These databases, along with the IAD s own database of internal investigations, feed vital information into the Internal Personnel Assessment System (i-pas) used by supervisors to evaluate their subordinates and identify areas for recognition or intervention. Sgt. Eric Lewis and Officer Tai Pena-Hornung 3

Organizational Structure Internal Affairs Division Staffing The IAD continues to maintain the reorganization that occurred in 2011. This reorganization best reflects the experience and expertise of the personnel working in the Division. The Performance Audit and Administrative Support Units that were merged to streamline operations and increase efficiency performed very well during the year. The Unit established and adhered to quality internal controls which resulted in gaining and maintaining compliance in all task designated to it. The IAD s responsibilities are divided among the Administration Section, Investigations Section, Integrity Testing Unit, and Division Level Unit as depicted below. Internal Affairs Division Organizational Chart for Year 2011 IAD Division Commander Captain Administrative Section Lieutenant Investigations Section Lieutenant Integrity Testing Unit Sergeant Division Level Unit Sergeant Intake Unit Squad A Sergeant Intake Unit Squad B Sergeant Performance Audit and Administrative Support Unit Manager Internal Affairs Division Staffing Data The Internal Affairs Division s staffing fluctuated during 2011. At the end of the calendar year there were a total of 36 filled positions compared to 35 filled in 2010. The Division also employed four annuitants. Additionally, the City of Oakland enacted measures to deal with the budget crises, such as hiring freeze, mandatory shut down days, and layoffs. Even so, the IAD continued to uphold the quality reflected in the prior years. A summary of staffing in the IAD is summarized in Table 1 below: 4

Table 1 INTERNAL AFFAIRS DIVISION STAFFING ASSIGNMENTS FOR YEAR 2011 CLASSIFICATION AUTHORIZED FILLED LOANED VACANT Captain of Police 1 1 0 0 Lieutenant of Police 2 2 0 0 9 14 0 0 s 10 14 0 0 Performance Audit Manager 1 1 0 0 Police Records Specialist 4 3 0 0 Administrative Assistant I 1 1 0 0 Totals 28 36 0 0 The IAD handled 1748 internal investigations in 2010. There were 1437 in 2011, an eight percent (8%) decrease. The IAD processed and entered 201 Pursuit Reports into a database in 2010. There were 160 in 2011, a twenty percent (20%) decrease. The Pursuit database has moved to the Training Division but we are still entering Pursuit information through a link to the Training Division until official word is received that Training will enter all information into the pursuit database. The IAD processed and entered 1760 Use of Force Reports into a database in 2010. There were 1475 in 2011, a decrease of twenty percent (20%). Other Staffing Data In 2011, the City of Oakland continued to struggle with a budget deficit. Despite these challenges, the IAD was able to meet policy requirements, and resolve IAD cases efficiently. The last quarter of the year required the IAD to provide staffing for major Occupy Oakland related events. This put a strain on staffing resources, but IAD staff was able to provide the necessary support. Promotional and retirement information, along with staffing transfers are detailed in footnotes and parenthesis on the following pages. 5

IAD STAFF MEMBERS Command Staff Paul J. Figueroa Danielle Outlaw Donna Hoppenhauer David Elzey Captain of Police, Division Commander Lieutenant of Police, Administrative Section Lieutenant of Police, Investigative Section** Lieutenant of Police, Investigative Section Administration Section Eric Lewis John Encinias ** Curtis Worcester Police Office** Robyn Clark Everett Peterson ** Keith Samuel Donald Sawyer ** Danielle Chavarria Robert Supriano Johnna Watson ** Brian Simon ** Guadalupe Chacon Ann Pierce Tyman Small Naomi Johnson Michael Land Wilson Lau Rodney Lewis Kathy Givens, Administrative Assistant Robert Messier Jimmy Ngo Jack Peterson ** Ashlei Williams Performance Audit and Administrative Support Unit Sylvia Dewitt Performance Audit Manager Apryl Belland-Smith Acting Administrative Analyst II/Police Records Specialist Meeke Hoang Police Records Specialist** Art Sandoval Police Records Specialist Laurie Allanson Police Record Specialist Katherine Givens Administrative Assistant I Yolanda Young Administrative Assistant I ** 6

Integrity Unit John Lois Felicia Aisthorpe Richard Coglio Sophal Sem ** Division Level Unit Raymond Backman Michael Yoell Sylvia Rodriguez Jay Crawford Lieutenant of Police (Annuitant) (Annuitant) (Annuitant) Investigations Section William Bodin Henderson Jordan James Morris *** Gregg Dutton Leroy Johnson Jeffrey Thomason Jimmy Wong Wendy Chan ** Diane Jim ** Walker Bardsley Mark Rowley Daniel Royal Jimmy Wong Kirk Coleman ** James Frugoli * Promoted during the year **Transferred out of IAD during the year ***Retired from the Division/Department during the year PRS Art Sandoval 7

INTERNAL AFFAIRS DIVISION FISCAL MANAGEMENT REPORTS This Annual Report covers the calendar year of 2011. The Fiscal Management Report herein reflects the City s preceding fiscal year (FY 2010). For the purpose of this report, the fiscal period covered is FY 10 11 (July 1, 2010 to June 30, 2011). As a result, the budget numbers below reflect activity for a fiscal and not calendar-year period. The tables show that the IAD exceeded its budget in the categories of Personnel, Operations & Maintenance, and Overtime. This occurred mainly because of the extra hours dedicated to the Occupy Oakland demonstrations. Summary of Budget Appropriations and Expenditures for FY 10-11 CATEGORY SUMMARIES FY 10/11 BUDGET APPROPRIATION FY 10/11 ACTUAL EXPENDITURES DIFFERENCE O&M 75,475.36 79,560.79 (4,085.43) Grants 0.00 0.00 0.00 Personnel (excluding overtime) 6,248,090.00 6,898,247.54 (650,157.54) Overtime 257,800.00 271,020.93 (13,220.93) Totals 6,581,535.36 7,248,999.26 (-667,463.90), Officer Jose Pereznegron 8

IAD TRAINING RECEIVED AND/OR PROVIDED In an ongoing effort to support the professional development of all IAD personnel, members and employees collectively received hundreds of hours of training during 2011. The following is a list of training related to Internal Affairs: IAD Training Received Course Name # of Hours # of Students Total Hours Special Order 9072 Refusal to Accept or Refer Complaints.50 41 20.5 Special Order 9062 Revision of M-2.1 Informal Complaint Resolution.50 43 21.5 IAD Memorandum 11-01 Inappropriate Postings.50 42 21 Information Bulletin Credibility Assessment.50 1.50 Information Bulletin CAO Case Feedback.50 1.50 Information Bulletin Internal Investigation Reminders.50 44 22 IAD 10-01 General Operating Procedures.50 3 1.50 IAD Update Credibility Assessment 2.0 21 42 Department General Order M-3.3 Integrity Testing.50 22 11 Internal Affairs Investigations 32 2 64 Internal Affairs Investigations 24 2 48 Division Level Investigation 4 3 12 Integrity Testing Operations Request.50 4 2 Integrity Testing Chronological Activity Log.50 4 2 Integrity Testing After Action Report.50 4 2 Total 270.5 In addition to the training outlined in the above chart, IAD personnel have also collectively received hundreds of hours of training on various issues related to Departmental policies and procedures as well as POST mandated requirements. Although this training was not specific to the IAD, it was relevant to all members and employees of the Department. The following training is on-going and continues to be provided to IAD personnel: A training program implemented and designed for internal affairs investigators sponsored by California State University at Long Beach is attended by the all members in the investigative and intake units; 9

SIGNIFICANT INTERNAL AFFAIRS DIVISION ACCOMPLISHMENTS In 2011, the staff of the IAD successfully identified and overcame numerous challenges, many of which are identified below: The Internal Affairs Division Integrity Testing Unit (IADITU) is responsible for conducting integrity tests, administrative reviews, policy development, compliance checks, internal investigations, and supervising the Pitchess Motion process. The IADITU maintained compliance with Task 3 of the Memorandum of Understanding. This is a significant step forward, because this program actively seeks to ensure integrity throughout the Department. The IADITU achieved full compliance in the Sixth Quarterly Report of the Independent Monitor and has been able to maintain full compliance for three consecutive quarters. The Division Level Unit is staffed by a who is responsible for tracking and reviewing all internal investigations completed by investigators not assigned to the IAD. The unit reviewed over 400 investigations during 2011. Approximately 33% of all investigations reviewed required the completion of additional investigative steps or editing prior to their final approval by the IAD Commander or Chief of Police. The overall quality of the investigations continued to improve throughout the year, most notably in the area of Credibility Assessments. The required timelines for completion and approval of investigations were consistently met, and on the few occasions where timelines were exceeded, there was ample justification for the delays (i.e. complexity of investigation, availability of witnesses, etc.). The IAD Intake Unit has maintained compliance with Task 4.10, thus demonstrating the proper level of preliminary investigation for each complaint has taken place and that it does not resolve complaints of misconduct without first determining-documenting-whether the OPD member or employee committed misconduct. The IAD Performance Audit and Administrative Support Section obtained compliance with the NSA, specifically Task 45.1 which requires IAD to maintain a centralized system for documenting and tracking all forms of discipline and corrective action, whether imposed centrally or at the Division level. Overall, complaints dropped by 8 percent. From October 25, 2011 to December 31, 2011, the IAD Intake Unit processed 933 individual complaints, which generated 26 new cases for investigation related to Occupy Oakland. Flexible intake hours that include 0600-1600 and 0800-1800 hours work very well for the Intake Unit and certain complaints continue to be handled directly from the Communications Division, Police Administration Building, and 10

Eastmont Station. Maintained a collaborative relationship with the offices of The City Attorney, the Independent Monitoring Team (IMT) and the Citizen Police Review Board (CPRB), which continue to benefit the Division, the Department, and the City. The Case Evaluation Report (CER) database was successfully transferred to the Criminal Investigation Division. In 2012, the Use of Force database is scheduled to be transferred to the Bureau of Field Operations and the Pursuit database is scheduled to be transferred to the Training Division. The IAD prepared and presented reports to the City Council regarding complaints received. The IAD completed nineteen (19) Level 1 Use of Force investigations during 2011, and thirty five (35) collisions. The Administrative Support Unit worked tirelessly at maintaining high quality and professional work product. The staff prepared Skelly documents for approximately 32 cases for review by a Skelly hearing officer. It prepared, distributed and tracked several hundred investigative files for division level and internal investigation, processed over 600 requests for information from the OCA, IMT, CPRB, the Department and other units within the IAD. Also, the unit processed approximately 1500 Use of Force reports, and mailed approximately 1450 letters informing the complainants of Oakland of the outcome of their complaints. The IAD continued to work toward complying with the mandates of the NSA and audit findings identified by the Independent Monitoring Team and Office of Inspector General. These efforts and results have included: The IMT found that the IAD to be in compliance with Task 45.5 which is being actively monitored. This task requires that discipline be imposed in a manner that is fair and consistent with the Discipline Matrix. 11

OTHER DATA AWARDS TO INDIVIDUAL STAFF MEMBERS During 2011, numerous members received awards exemplifying their hard work in supporting the Internal Affairs Division. The IAD is pleased to illustrate the following: Sergeant Wendy Chan: Perfect Driving Bar, presented February 2011 and Letter of Appreciation from an outside agency, presented March 2011 Sergeant John Encinias: Captain Certificate of Commendation, presented January 2011 Officer Robyn Clark: Outstanding Performance Evaluation Bar, presented February 2011 Officer Robert Messier, Jr: Perfect Driving Bar, presented June 2011 Officer Tyman Small, Jr.: Good Conduct Bar, presented September 2011 INTERNAL AFFAIRS DIVISION PRODUCTIVITY PERFORMANCE DATA In support of Departmental policies and procedures, the work product of the Internal Affairs Division includes, but is not limited to: Receiving complaints and conducting background research; Creation of case files and assignment of investigations; Investigation of complaints; Coordination and review of Division-level investigations; Management of legal claims, litigation and Pitchess motion inquiries involving Departmental personnel; Data entry of Pursuit Reports Maintenance of the Pursuit Database Records management and reporting; 24-hour callout response for certain critical incidents or investigations, Integrity testing; Management of the IAD Complaint Hotline; and Collaboration with the Citizen s Police Review Board, the Office of the City Attorney, outside consultants, and the Independent Monitoring Team. 12

The following charts and graphs depict additional Division-related output statistics. Complaints Received 2002-2011 2500 2000 1500 1000 500 0 2267 1758 1748 1442 1367 1437 1224 980 715 801 '02 '03 '04 '05 '06 '07 '08 '09 '10 '11 Allegations by MOR 2011 No MOR, Service, Duplicate 34, 1% 49, 2% 33, 1% 30, 1% Performance of Duty (Class II) 43, 2% 45, 2% 387, 14% 35, 1% 871, 32% Conduct (Class II) Use of Force Retaliation, Interfering, Refusal to Take Complaint or Provide Name Performance of Duty (Class I) Preventable Collision 453, 17% Obedience to Laws & Regulations (Class II) Truthfulness and False Reports Obedience to Laws (Class I) 745, 27% Supervision and Command 13

UOF Allegations by Level in 2011 Level 4 29% Level 1 15% Level 2 29% Level 3 27% Findings for Allegations in 2011 800 600 400 200 613 421 274 232 115 212 0 Admin Closure (33%) Unfounded (23%) ICR (15%) Exonerated (12%) Sustained (6%) Not Sustained (11%) 14

2000 1500 1000 500 0 IAD Cases Handled by IAD Compared to Division Level Investigations IAD 1749 100 1243 368 2010 2011 134 DLI 2011 cases still in intake (31 Jan 12) OTHER INTERNAL AFFAIRS DIVISION PERFORMANCE DATA Areas of Concern and IAD Measures to Address these Matters The IAD continues towards achieving sustainable compliance with the Memorandum of Understanding (MOU), improving performance by developing solutions, revising policy and procedures, and presenting training. While areas of concern remain, movement has been continuously in a positive direction. Complaint Volume vs. Investigative Quality 2011 showed an 8% decrease in the number of complaints compared with the prior year. The IAD continues to maintain a high level of investigative integrity. As the Department continues with the new monitoring team for the Memorandum of Understanding (MOU), steps are continually being taken to streamline processes to increase efficiency. Integrity Testing Unit Effectiveness The IAD will purchase additional equipment to increase the abilities of the Unit Corrective Actions The IAD evaluated its personnel through weekly and bi-monthly meetings, quarterly ipas reviews, and annual ratings. Corrective action was taken with individuals as necessary, but no trends regarding uses of force, discharging of 15

firearms, personnel complaints, vehicle pursuits, or preventable collisions were identified. STATE OF THE UNIT The IAD is dedicated to the preservation of integrity and morale in the Oakland Police Department in support of its core values. The Division continues to provide fair and impartial administrative investigations; while fostering public trust, confidence in law enforcement and ensuring accountability at all levels of the Department. The Division also plays a critical role in gaining compliance with the requirements of the Memorandum of Understanding (MOU). The IAD continues to meet the daily challenges of conducting administrative investigations while endeavoring to achieve compliance with the requirements of the MOU. The IAD is responsible for the following: Task 01: IAD Staffing and Resources Task 02: Timeliness Standards and Compliance with IAD Investigations Task 03: IAD Integrity Tests Task 04: Compliant Control System for IAD Task 05: Compliant Procedures for IAD Task 06: Refusal to Accept of Refer Citizen Complaints Task 07: Methods for Receiving of Citizen Complaints Task 08: Classifications of Citizen Complaints Task 09: Contact of Citizen Complainant Task 11: Summary of Citizen Complaints Provided to OPD Personnel Task 12: Disclosure of Possible Investigator Bias Task 13: Documentation of Pitches Responses Task 14: Investigation of Allegations of Manual of Rules Violations Resulting from Lawsuits and Legal Claims Task 15: Reviewing Findings and Disciplinary Recommendations Task 16: Supporting IAD Process Supervisor/Managerial Accountability Task 29: Internal Affairs Division Investigation Priority Task 31: Officer-Involved Shooting Investigation Task 33: Misconduct Task 37: Internal Investigations Retaliation Against Witnesses Task 39: Personnel Arrested, Sued and/or Served with Administrative Process Task 45: Consistency of Discipline Police These 21 tasks represent 41 percent of the NSA requirements and are further defined in 81 sub-tasks and 111 detailed methodologies which the Monitoring Team audits to determine compliance. In 2012, the IAD will build upon its experiences to overcome challenges and achieve goals including the following: Meet MOU goals and achieve compliance with policy mandates; 16

Complete all investigations in accordance with Government Code 3304(d) and Departmental deadlines; Continue to evaluate and update policies and procedures; Perform quality investigations and reviews in accordance with professional standards and in a timely manner; Develop employee potential to encourage and promote individual growth and development; Provide an exceptional work environment with motivational incentives for people to be productive; Provide excellent customer service; Maintain ongoing training needs assessments of Internal Affairs Division personnel; Research work practices at other agencies to learn and implement smart work practices that are efficient and increase productivity and quality; Continue development of the Integrity Unit, tasked with the proactive investigation of Departmental personnel who may be engaging in criminal or Departmental violations. Officer Jimmy Ngo 17

This Report was prepared by: Oakland Police Department Internal Affairs Division Primary Authors: Ms. Sylvia dewitt Ms. Apryl Belland-Smith Report Contributors: Captain Paul Figueroa Cover: Ms. Apryl Belland-Smith January 2012 18