Policy Text
Ref: CALEA
Standards 53.1.1;
53.2.1 DEPARTMENTAL
GENERAL ORDER N-12 New Order
23 Mar 01
Index as: Audits Inspections Office of Inspector General (OIG)
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DEPARTMENTAL AUDITS AND INSPECTIONS
The purpose of this order is to set forth Departmental policy and procedures
regarding the Department’s audit and inspec tion process. Departmental audits and
inspections may include, but are not limited to, evaluation of facilities, vehicles,
equipment, records, personnel, investiga tive procedures, administrative and crime
reporting practices, and incident reports.
This order and Departmental Training Bulletin V-P, GUIDELINES FOR AUDITS
AND INSPECTIONS will provide Departmental management (organizational unit
supervisors, commanders, and managers) and the Office of Inspector General (OIG) with guidelines for conducting audits and inspections. I. INTRODUCTION
Departmental audits and inspections, and the correction of any adverse
conditions discovered therein, are the function and responsibility of all command and supervisory personnel. They are an integral part of any management system which holds its members accountable for their
performance. The audit and inspection process is an essential mechanism for:
A. Evaluating the quality of the Department’s operations
B. Ensuring Departmental goals are clearly defined, understood and pursued
C. Identifying the need for additional resources
D. Providing a vertical, as well as lateral, means of communication within the Department
DEPARTMENTAL GENERAL ORDER N-12 New Order
23 Mar 01 OAKLAND POLICE DEPARTMENT
II. DEFINITIONS A. Inspection An examination that focuses on a specific task, activity, or event in order to ensure compliance with a polic y, procedure, rule, or directive.
B. Audit
A methodical, extensive and detailed examination or analysis. An audit is more general in nature than an inspection and may involve reviewing
a previous inspection or conducti ng a new one. An audit may include
but is not limited to analyzing topics such as: 1. Accuracy of inspections
2. Policy and procedure compliance
3. Adequacy of the procedure or the directive/policy/order
4. An activity’s effect on Departmental strategies
5. An activity’s effect on other Departmental units
Note: The various categories of audits and inspections are described
in Part V.
C. Line
Refers to personnel within the ch ain of command who have direct
authority and responsibility for operation of the unit.
D. Staff
Refers to personnel not in the direct chain of command and who do not have operational control of persons, facilities, or procedures.
E. Formal
To be documented with the required written reports submitted to the unit commander, or higher authority.
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DEPARTMENTAL GENERAL ORDER N-12 New Order
23 Mar 01 OAKLAND POLICE DEPARTMENT
F. Informal No written report is required. Writte n notations may/may not have
been executed.
G. Self-Assessment
To estimate the value and proficiency of a unit, operation, or activity
by those personnel who are affiliat ed with the group or activity.
III. POLICY
A. Audits and inspections shall be used to ensure that operational controls
are maintained, and that practices, procedures, and efforts of all units conform to Departmental rules, policies, orders, City regulations, and existing law.
B. Management personnel shall be encouraged to use positive measures to correct problems discovered during the audit or inspection process. The intent is to improve performance and service by examining what the
Department’s personnel are doing a nd how they perform their duties.
C. Nothing in this order shall preclude Departmental management from conducting unannounced, periodic audits or inspections in addition to those required by this order.
D. All Department and Bureau staff audits and inspections shall be coordinated through the Office of the Chief of Police or the Planning and Research Division. Audits and in spections shall be conducted in
accordance with the provisions of Training Bulletin V-P.
E. The OIG and its staff are not responsib le for, and shall not relieve
Departmental management of their responsibility for conducting audits or inspections within their own units, the direction of operations, or the development and execution of written procedures.
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DEPARTMENTAL GENERAL ORDER N-12 New Order
23 Mar 01 OAKLAND POLICE DEPARTMENT
F. Whenever possible misconduct is discovered, the appropriate
commanding officer shall be notified. The commanding officer shall ensure that a separate personnel complaint is initiated. The audit/inspection will then proceed normally, except that the personnel complaint shall be noted in the audit/inspection report. At the conclusion of both the audit/inspection and personnel complaint investigations, the commanding officer shall ensure that the final outcomes of both inquiries are appropriately cross-referenced.
G. Departmental management shall familiarize themselves with their specific responsibilities and ensure that audits/inspections are conducted in accordance with the provisions of the applicable Departmental orders or unit directives.
IV. AUDIT AND INSPECTION – RESPONSIBILITIES Management control systems are necessary to ascertain whether Departmental or command policies, procedures, and rules are adequate and are being adhered to; whether Department resources are adequate and/or being properly utilized; and to evaluate the performance of Department personnel.
Departmental management is responsible for ongoing audits and inspections within their command to ensure the proper performance of assigned personnel and the most efficient use of equipm ent, material, and facilities. Merely
finding fault is not auditing or inspecting. Departmental management’s responsibility does not end with the discovery of a deficiency or inadequacy. Management must