Common use of Risk Management System Clause in Contracts

Risk Management System. 1. Within 150 days of the effective date of this Agreement, WPD shall develop and implement an early intervention system, i.e., a risk management system, to include either a computerized relational database or paper system for maintaining, integrating, and retrieving information necessary for supervision and management of WPD. WPD will regularly use this data to promote civil rights and best police practices; to manage risk and liability; and to evaluate the performance of WPD officers across all ranks, units, and shifts. Analysis In December 2013, we found WPD to be non-compliant regarding this provision because WPD had begun putting into place an Early Intervention System (“EIS”) that did not comport with the requirements of the Agreement. WPD has made tremendous progress since then. WPD has now developed a computerized EIS database using a customized version of the IAPro software that effectively allows WPD to maintain information needed to assess, supervise, and manage WPD’s officers. WPD has also incorporated the use of IAPro’s BlueTeam software, which allows officers to enter use-of-force reports and other information from their patrol cars. With the assistance of DOJ’s expert consultant, WPD has also developed an EIS policy that details how WPD is to use its EIS to manage risk and liability and evaluate officer performance. All patrol officers and supervisors have now been trained on the EIS. The EIS is now live and is tracking the requisite domains for each officer. The system already includes data points from the previous 12 months. Once an officer triggers an alert, as outlined in WPD’s EIS policy, WPD’s IA investigator will notify the officer’s commander and begin an evaluation. WPD has made significant improvements regarding EIS, and we now find WPD to be in substantial compliance with this provision. We commend WPD, specifically the Lieutenant charged with the responsibility of establishing EIS, for their laudatory effort to bring EIS to fruition. Technical Assistance Going forward, we will monitor WPD’s new EIS to assess its efficacy and provide technical assistance to adapt EIS to lessons learned during its implementation. 2. The risk management system shall collect and record the following information for each officer: a. all uses of force; b. the number of canisters of chemical spray used by officers; c. all discharges of conductive energy devices; d. all injuries to prisoners; e. all instances in which force is used and a subject is charged with "resisting arrest," "assault on a police officer," "disorderly conduct," or "obstruction of official business"; f. all firearm discharges, both on- and off-duty, including unintentional discharges, but excluding discharges in planned training exercises or hunting; g. all complaints (and their dispositions); h. all criminal proceedings initiated, as well as all civil or administrative claims filed with, and all civil lawsuits served upon, the City and its officers, or agents, resulting from WPD operations or the actions of WPD officers; i. all incidents involving the pointing of a firearm at a person (if any such reporting is required); j. all discipline and non-disciplinary corrective action taken against officers; and k. all positive personnel reviews, commendations, awards, etc.; Analysis In December 2013, we found WPD to be non-compliant with this portion of the Agreement because the EIS WPD was putting into place did not track all of the data points itemized in this provision. WPD has now configured its EIS to track all of this information in addition to chronic absenteeism. Thus, we now find WPD to be in substantial compliance with this provision. Technical Assistance None at this time. 3. The risk management system shall include, for the incidents included in the database, appropriate identifying information for each involved officer (e. g., name, badge number, shift and supervisor) and civilian (e.g., race, ethnicity or national origin, if available). Analysis As set forth in this provision and in WPD’s new EIS policy, WPD includes the appropriate identifying information for both officers and civilians. Thus we now find WPD to be in substantial compliance with this provision. Technical Assistance None at this time. 4. Within 210 days of the effective date of this Agreement, WPD shall prepare a protocol for using the risk management system. Analysis WPD has recently finalized and distributed an EIS policy that incorporates edits from DOJ and comports with the requirements of this Agreement. Accordingly, we now find WPD to be in substantial compliance with this provision. Technical Assistance None at this time. 5. At a minimum, the protocol for using the risk management system shall include the following provisions and elements: a. The protocol is comprised of the following components: data storage, data retrieval, reporting, data analysis, pattern identification, supervisory assessment, supervisory intervention, documentation and audit. b. The protocol will require the risk management system to analyze the data according to the following criteria: (i) number of incidents for each data category by individual officer and by all officers in a unit; (ii) average level of activity for each data category by individual officer and by all officers in a unit; and (iii) identification of patterns of activity for each data category by individual officer and by officers in a unit. c. The protocol will require the system to generate reports on a monthly basis describing the data and data analysis and identifying individual and unit patterns. d. The protocol will require that WPD Captains, Lieutenants, and supervisors review, on a regular basis but not less than quarterly, system reports, and evaluate individual officer, supervisor, and unit activity. e. The protocol will require that WPD Captains, Lieutenants, and supervisors initiate intervention for individual officers, supervisors and for units based on appropriate activity and pattern assessment of the information contained in the risk management system. f. The protocol will require that intervention options include discussion by Captains, Lieutenants, supervisors, and officers; counseling; training; and supervised, monitored, and documented action plans and strategies designed to correct inappropriate activity. g. The protocol will specify that actions taken as a result of information from the risk management system be based on all relevant and appropriate information, including the nature of the officer’s assignment, crime trends and crime problems, and not solely on the number or percentages of incidents in any category of information recorded in the risk management system. h. The protocol will require that WPD Captains, Lieutenants, and supervisors promptly review the risk management system records of all officers recently transferred to their sections and units. i. The protocol will require that WPD Captains, Lieutenants, and supervisors be evaluated on their ability to use the risk management system to enhance effectiveness and reduce risk. j. The protocol will require that the risk management system be managed and administered by IA. IA will conduct quarterly audits of the risk management system to ensure that analysis and intervention are taken according to the process described above. k. The protocol will require regular reviews, at no less than quarterly intervals, by appropriate managers of all relevant risk management system information to evaluate officer performance citywide, and to evaluate and make appropriate comparisons regarding the performance of all WPD units in order to identify any significant patterns or series of incidents. Analysis As noted in Section V.A.4 above, WPD has recently promulgated a revised EIS policy. This policy incorporates the above requirements and is a tremendous improvement upon the draft policy EIS had in December 2013. Additionally, WPD dedicated time and resources to working with our expert consultant to develop a protocol for the EIS administrator to use the system to identify outliers based on a quarterly analysis. Accordingly, WPD is now in substantial compliance with this provision. Technical Assistance None at this time. 6. WPD shall maintain all personally identifiable information about an officer included in the risk management system during the officer’s employment with WPD for at least five years. Information necessary for aggregate statistical analysis will be maintained indefinitely in the risk management system. WPD shall enter information into the risk management system in a timely, accurate, and complete manner, and maintain the data in a secure and confidential manner. WPD shall input new or changed information, if any new or changed information addressing the aforementioned risk management categories exists, at least on a monthly basis, if not sooner, subject to the confidentiality provisions of Section 149.43 of Ohio Revised Code and current collective bargaining agreements. Analysis In December 2013, we noted that WPD had not yet established its EIS and WPD was thus out of compliance with this provision. While now active and tracking the requisite domains for each officer, WPD’s EIS is in its infancy, and it is too early to tell whether WPD will meet some of the requirements in this provision. We do note, however, that though the system went live only recently, it includes data points for officers spanning the past year. WPD is also currently entering data in a manner consistent with this provision. Officers’ EIS files are kept separately from their personnel files, so WPD can more effectively keep the information confidential. Technical Assistance Though this Agreement does not require WPD to memorialize the requirements of this provision in writing, WPD should considering doing so in WPD’s EIS policy, EIS manual, or elsewhere. 7. WPD shall either purchase the risk management system off-the-shelf (and customize the system, if necessary to meet the requirements of this agreement), or WPD may develop and implement its own risk management system. In either case, WPD shall adhere to the following schedule: a. Within 210 days of the effective date of this Agreement, WPD will submit a protocol for using a risk management system to DOJ for review and approval. WPD will share drafts of this document with DOJ to allow DOJ to become familiar with the document as it develops and to provide informal comments on it. WPD and DOJ will together seek to ensure that the protocol receives final approval within 30 days after it is presented for review and approval. b. Within 270 days of the effective date of this Agreement, WPD shall prepare, for the review by and subject to the approval of DOJ, a plan for including appropriate fields and values of new and historical data into the risk management system (the "Data Input Plan"). The Data Input Plan will identify the data to be included and the means for inputting such data (direct entry or otherwise), the specific fields of information to be included, the past time periods for which information is to be included, the deadlines for inputting the data, and the responsibility for the input of the data. The Data Input Plan will include historical data that is up to date and complete in the risk management system. WPD and DOJ will together seek to ensure that the protocol receives final review and approval within 30 days after it is presented for approval. c. Within 270 days of the effective date of this Agreement, subject to the review and approval of DOJ, WPD will issue a Request for Proposal (“RFP”) for the design and implementation of the risk management system consistent with this Agreement, or WPD will set forth parameters for its own development and implementation of a risk management system constructed by WPD. d. Within 360 days of the effective date of this Agreement, or later with the agreement of DOJ, WPD will select the contractor to design and implement the risk management system, or, if WPD has chosen to construct its own risk management system, WPD will contract for all the necessary components for such an in-house risk management system by this time. e. Within 450 days of the effective date of this Agreement, WPD will have ready for testing a beta version of the risk management system consisting of: (i) any necessary hardware and operating systems, configured and integrated with WPD’s existing automated systems; (ii) any necessary data base software installed and configured; (iii) data structures created, including interfaces to source data; and (iv) the use-of- force information system completed, including historic data. DOJ will have the opportunity to participate in testing the beta version using use-of-force data and test data created specifically for purposes of checking the risk management system. f. Within 540 days of the effective date of this Agreement, the risk management system will be operational and fully implemented. Analysis In December 2013, we found WPD to be out of compliance with this provision because WPD did not yet have in place an effective EIS. Now, WPD has promulgated a satisfactory EIS policy and its EIS, which tracks the domains required by this Agreement, is active. Thus, we now find WPD to be in substantial compliance with this provision. Technical Assistance None at this time. 8. Prior to implementation of the new risk management system, WPD will continue to use existing databases and resources to the fullest extent possible, to identify patterns of conduct by WPD officers or groups of officers. Analysis While WPD’s EIS is now active, three months must pass before WPD can calculate its quarterly use of force average per arrests and discretionary offense charges and thus assess its officers’ uses of force. In the meantime, WPD continues to utilize the software available to it and data collected in a spreadsheet to emulate a risk management system accessible to WPD’s senior administration. Technical Assistance None at this time. 9. Following the initial implementation of the risk management system, and as experience and the availability of new technology may warrant, WPD may propose to add, subtract, or modify data tables and fields, modify the list of documents scanned or electronically attached, and add, subtract, or modify standardized reports and queries. WPD shall submit all such proposals for review and approval by DOJ before implementation. Analysis WPD has already added, with our encouragement and approval, additional fields to the list of domains the Agreement requires WPD to track. Technical Assistance WPD’s EIS is in its infancy and WPD has yet to propose other modifications. We encourage WPD to fine tune its EIS where WPD believes such modifications may increase the system’s efficiency and effectiveness.