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- Personnel Early Warning System, G.O. No. 2.4.15 Page 1 ALBANY, NEW YORK POLICE DEPARTMENT 165 HENRY JOHNSON BOULEVARD ALBANY, NEW YORK 12210 PERSONNEL EARLY WARNING SYSTEM GENERAL ORDER NO: 2.4.15 Issue Date: April 22, 2015 Effective Date: March 2012 Revision Date: March 2012 NYSLEAP: N/A Volume 2: Logistics Chapter 4: Office of Professional Standards Distribution: Personnel Page: 1 of 11 Issuing Authority: Chief Eric Hawkins PURPOSE: The purpose of this policy is to identify and support department employees who may demonstrate of job stress, training deficiencies, and/or personal problems affecting their job performance, by the review of an employee’s reports relating to on the job incidents and their conduct; through use of the Personnel Early Warning System. POLICY: It is the policy of the Albany Police Department to utilize the Personnel Early Warning System to foster positive corrective actions before aspects of job performance become critical issues. DEFINITIONS: Personnel Early Warning System (PEWS) – The Personnel Early Warning System (PEWS) is a non-disciplinary referral process that seeks to support an employee’s career development through training, counseling, and/or mentoring. The PEWS does not replace the current disciplinary processes, nor does it preclude the investigation of any incident that may result in discipline. Blue Team – Blue Team is the software application that allows field supervisors to supply the IAPro database with necessary information to properly assess an employee’s performance during specific incidents. IAPro – IAPro is the database portion of the PEWS, which provides for the comparison of measurable indicators against established performance criteria. Performance Criteria – Performance criteria are specific categories of incidents bearing particular weight in identifying a potential need for some type of intervention. These categories include use of force incidents, pursuits, department vehicle accidents, citizen complaints, and administrative investigations. Threshold Matrix – Threshold matrix is an established number of incident occurrences, within the established performance criteria, which must be reached, during a period of six or twelve (12) months, that calls for a review and evaluation of each incident by the Office of Professional Standards. Eric Hawkins Chief of Police 1789 ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 2 I. PERSONNEL EARLY WARNING SYSTEM A. The PEWS shall utilize a database program designed to assist in logging, assigning, and managing vehicle pursuits, use of force reports, accidents, and complaints. The database is comprised of two components: 1. Blue Team: a. Blue Team is designed for supervisors to enter initial data into the database through the software application called Blue Team. That information is forwarded electronically through the chain of command or directly to the Office of Professional Standards. 2. IAPro: a. IAPro is the portion of the database utilized by the Office of Professional Standards section for management of the system. II. PROCEDURES A. The PEWS identifies employees who may require intervention efforts. When one of the following events are generated the below listed procedures shall be followed: 1. A use of force incident, as documented on an Albany Police Department Subject Resistance/Use of Force Report, APD Form # 422 shown on pages 8-10 of this order; 2. A vehicle pursuit, as document on a Albany Police Department Pursuit Report, APD Form # 425 shown on page 11 of this order; 3. A vehicle collision involving a department employee vehicle, as documented on a MV-104A, Report of Motor Vehicle Accident; 4. A citizen’s complaint involving a department employee; or 5. An OPS investigation involving a department employee. B. Sergeants shall: 1. Review generated reports for accuracy and completeness. 2. Transcribe the incident into the Blue Team software application from a department computer, via the department’s homepage. a. The Blue Team software and a detailed user manual can be found under the “Administrative” link on the department’s homepage. b. If one incident generates multiple reports fitting the criteria in Blue Team, each report must be entered separately under its distinct incident type. 3. Forward the Blue Team entry to the shift lieutenant for review. a. When two operation lieutenants are working, the entry should be forwarded based upon the station of occurrence, and “Cc’d” to the officer’s assigned station lieutenant, if different. ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 3 b. Sergeants assigned to specialized units shall forward entries to the unit lieutenant, if he/she is working. When the unit lieutenant is not on duty, the entry shall be forwarded to the operations lieutenant, in accordance with the above listed procedures. C. Lieutenants shall: 1. Review the Blue Team entries throughout, and at the end, of each shift: a. Reports in need of additional information shall be forwarded back to the issuing supervisor for corrections. b. Reports which are deemed complete shall be forwarded to the unit/station commander for review. 2. Review generated reports involving sergeants for accuracy and completeness. 3. Transcribe the incident into the Blue Team software application from a department computer, via the department’s homepage. 4. Forward the Blue Team entry to the unit/station commander for review. D. In circumstances where a supervisor generates one of the listed events in section II their immediate supervisor shall be responsible for completing the following: 1. Transcribe the incident into the Blue Team software application from a department computer, via the department’s homepage and forward it appropriately. E. Unit/Station Commander: 1. Review and approve or deny Blue Team entries; and 2. Once approved, forward the entries to the Office of Professional Standards. F. The Commander of the Office of Professional Standards (OPS) shall: 1. Review the Blue Team database, on a daily working basis, to ensure immediate review of any newly entered incidents. 2. Enter any new Blue Team incidents into the IAPro database, which will indicate if the involved officer has met the threshold for a particular set of performance criteria. 3. When an officer’s early warning indicators meet the threshold for a particular set of performance criteria, the Commander of OPS shall determine if the employee is a candidate for the PEWS by evaluating the following information: a. Each incident; b. The employee’s performance history; c. The employee’s assigned command and hours; d. The employee’s yearly evaluations; e. The employee’s sick leave history; and ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 4 f. Any other pertinent background history of the employee. 4. If it is determined that additional information is needed, the Commander of OPS shall forward a written correspondence to that employee’s immediate supervisor requesting further review of the employee’s performance. a. If the request for command review stems from an active OPS investigation, the facts of that case will not be discussed as that would be a violation of the employee’s rights. b. An effort shall be made however, to determine if there are other factors affecting the employee’s job performance or if the employee is in need of a referral. G. When a further review of an employee’s performance is requested, per the Commander of OPS, the following shall apply: 1. Immediate Supervisor: a. The employee’s immediate supervisor shall analyze the incidents relative to the performance criteria threshold matrix being reached. b. This shall be done by reviewing all of the facts and documentation available for each incident, which shall include, but not be limited to the following: i. All police reports filed in regards to the incidents; ii. Civilian complaints; iii. Supervisor inquiries; iv. Counseling forms; and v. Commendation forms. c. The supervisor shall then meet with the employee for the purpose of discussing the qualifying reasons for the review and to ascertain facts regarding the incidents. The inquiry of facts shall include, but not be limited to the following: i. Consideration of the totality of the circumstances surrounding each incident; ii. Drawing on the knowledge of human behavior; iii. Department policies and procedures; iv. Knowledge gained from law enforcement experience; and v. Recognition that there are circumstances when force is necessary and proper. d. The supervisor shall determine if there are any similarities among incidents. e. Determine if a trend or pattern of behavior is indicated. f. Determine if other possible indicators of stress are present. Possible indicators of stress include, but are not limited to the following: i. An unusual amount of personal sick leave; ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 5 ii. Tardiness; and/or iii. Marital problems, etc. g. Prepare a summary report, via IDC to Chief of Police, to include the following information: i. Employee’s name and PIN number; ii. The type of threshold that the employee met to qualify for the PEWS; iii. A brief summary of explanation pertaining to each incident; and iv. A brief summation of the meeting between the immediate supervisor and the employee, which shall include: a) Any referrals EAP, training); b) Goals and objectives; c) Suggestions and comments about the meeting; and d) Dispositions recommending the intervention to be implemented, including the following: 1) No further action needed or required; or 2) Referral to appropriate intervention agency based on the circumstances. 2. Unit/Station Lieutenant: a. The unit/station lieutenant shall review the IDC summary report upon receipt. 3. Unit/Station Commander: a. The unit/station commander shall review the IDC summary report upon receipt; and b. Upon approval, shall forward the IDC to the Office of Professional Standards. 4. Commander of the Office of Professional Standards: a. The Commander of OPS shall review the IDC summary report and discuss the recommended disposition with the Chief of Police for final approval. b. When a review of a department member's early warning indicators signify that agency intervention is appropriate and/or when a supervisor makes such a determination as a result of routine observations, the Chief of Police or his/her designee may recommend the following: i. Remediation or training: a) An employee may need refresher training in human relation skills, defensive tactics, cultural diversity, ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 6 vehicle operation, certain department policies and procedures, etc. b) If formal training is recommended, the Commander of OPS shall contact the Training Unit lieutenant. The Training Unit lieutenant shall coordinate the placement of the employee in an appropriate training class or assist with the development of a custom tailored curriculum. c) Every effort shall be made to specifically fit the training to the employee’s needs. d) The training shall be scheduled and accomplished as soon as possible after the supervisor’s meeting with the employee. e) A summary of the training shall be documented via IDC and shall be included with the PEWS review. ii. Recommendation to receive voluntary EAP services or another outside service program or spiritual services for counseling. iii. Recommendation to seek voluntary counseling, such as personal or family, financial and/or money management, and/or drinking or abuse assistance. iv. Recommendation to attend voluntary stress awareness courses with considerations given to physical fitness testing, weight management counseling, and enrollment into a physical exercise program. v. Recommendation of a voluntary transfer to another position within the department. c. The Commander of OPS shall determine if the recommended referral will be mandatory or voluntary for the employee. i. If mandatory, attendance shall be considered on-duty time and the employee’s schedule shall be adjusted accordingly. ii. The Chief of Police or his/her designee may also suggest that the employee be placed in an administrative position during the duration of their intervention. d. The Commander of OPS shall inform the employee, the employee’s unit/station commander, and the employee’s immediate supervisor of the findings, as well as facilitate the implementation of the recommended referral, when appropriate. H. Post Intervention Monitoring: 1. An employee who was referred through the PEWS shall be subject to a post intervention monitoring period of thirty (30) days. During that time, the employee’s supervisor shall: a. Observe the employee in work related situations; b. Report, via IDC, any improvements or deficiencies; and ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 7 c. Make a recommendation to continue/discontinue monitoring or refer the employee back to the PEWS. I. Annual Evaluation of the Personnel Early Warning System: 1. The Commander of OPS shall conduct a documented annual evaluation of the PEWS to determine its effectiveness and any recommended modifications, if warranted. The results of this evaluation shall be documented on an IDC to the Chief of Police. a. The annual evaluation shall utilize data from between the dates of January 1st and December 31st of each calendar year, and shall be completed by March 31st of each year. III. THRESHOLD MATRIX: A. The established criteria for the threshold matrix shall consist of the following: 1. Use of Force Incidents: a. Four incidents in a six month period. 2. Citizen Complaints: a. Three incidents in a twelve (12) month period. 3. Vehicle Pursuits: a. Three incidents in a twelve (12) month period. 4. Department Vehicle Crashes: a. Three incidents in a twelve (12) month period. 5. Administrative Investigations: a. Four investigations in a twelve (12) month period. 6. Combination of Overall Criteria: a. Six incidents in a Six month period. B. The threshold matrix criteria may be adjusted by the Chief of Police based upon relating conditions. C. Should an employee desire to see their number of performance indicators during a given period of time, they may do so by submitting an IDC to the Chief of Police. ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 8 ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 9 ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 10 ---PAGE BREAK--- - Personnel Early Warning System, G.O. No. 2.4.15 Page 11