Sheriff's Policy Manual PDF

SHERIFF’S POLICY MANUAL 14.1 OFFICE OF INSPECTOR GENERAL / BUREAU OF COMPLIANCE AND ACCOUNTABILITY A. Purpose: The purpose of this policy is to establish procedures for the Office of Inspector General (OIG) of the Broward Sher...

SHERIFF’S POLICY MANUAL 14.1 OFFICE OF INSPECTOR GENERAL / BUREAU OF COMPLIANCE AND ACCOUNTABILITY A. Purpose: The purpose of this policy is to establish procedures for the Office of Inspector General (OIG) of the Broward Sheriff’s Office (BSO). The Bureau’s activities are directed at assisting BSO to accomplish its mission by bringing a systematic, disciplined approach to evaluating and improving the effectiveness of all facets of its operations. B. Mission: It is the mission of Broward Sheriff Office (BSO) to have the Office of Inspector General (OIG) provide timely and professional auditing, investigative, review, and technical services; assessments of management functions; and the promotion of integrity, economy, efficiency, and effectiveness of BSO’s activities, programs, and services. C. Definitions: 1. Auditor: An employee assigned to the OIG, regardless of classification, responsible for conducting audits, inspections, studies, or inventory reconciliation. 2. Audits: A systematic examination of data, operations, performance, records, and statements. a. Audits generally fall into three categories: financial, attestation, and performance/compliance. b. All audits must contain the following elements: i. Audit agenda ii. Audit plan iii. Audit program iv. Audit report v. Work papers vi. Recommendations. Reviewed: 10/18/2023 Revised: 02/29/2024 Rescinds: 10/14/2021 Effective: 03/21/2024 14.1 Page 1 of 5  SHERIFF’S POLICY MANUAL vii. Management response. 3. Employee: A person currently employed by BSO in a full-time, part- time, contract, or probationary status. 4. Non-Audit Services: Services completed by the OIG that do not meet the criteria for an audit. These services include, but are not limited to, IG investigations, inspections, studies, or inventory reconciliation. 5. IG Investigation: A formal inquiry into allegations of wrongdoing or non-compliance within BSO to determine the veracity of the claims and to recommend corrective actions if needed. 6. Inspection: Independent and objective observation of a function and/or documentation to assess compliance, functionality and conditions with BSO Policy and Procedures. 7. Study: Independent and objective research to provide information or data to a requesting party which may not include field work. 8. Inventory: Reconciliation of items. 9. Staff Inspector: An employee assigned to the OIG responsible to examine and evaluate BSO’s organizational components and their ability to accomplish departmental objectives effectively and efficiently in accordance with existing policies and procedures. 10. Inspector General: Oversees all activities within the OIG, objectively ensuring the ongoing integrity of BSO processes and operations. D. Independence: 1. The Major / Inspector General reports directly to the Sheriff for all matters involving internal audit and financial matters related to the Office of Inspector General. The Major / Inspector General reports to the Executive Director, Department of Professional Standards on matters involving non-audit services and staff inspections. Reviewed: 10/18/2023 Revised: 02/29/2024 Rescinds: 10/14/2021 Effective: 03/21/2024 14.1 Page 2 of 5  SHERIFF’S POLICY MANUAL 2. All inspectors / auditors of the OIG shall have unrestricted, timely, full, and direct access to all relevant department employees, facilities, documents, files, records, and data in BSO that are necessary to perform the duties set forth in this policy. 3. Except by any tactical or city-wide emergency, members of the OIG will maintain independence and shall not have direct responsibility or authority for any activities or operations they review. a. Exception: Members may authorize an immediate correction to protect public safety. E. Authority: 1. The Inspector General shall have the following authority: a. Review Internal Affairs handling of allegations of misconduct, including directing audits and reviews of Internal Affairs classifications and investigations, and directing any additional Internal Affairs investigation, if necessary. b. Handle misconduct complaints as directed by the sheriff involving Internal Affairs staff where a potential conflict of interest precludes Internal Affairs from handling the complaint. c. Through review as necessary, the Inspector General shall assess the thoroughness, fairness, consistency, and timeliness of Internal Affairs complaint-handling for those cases not investigated, including cases directly handled by or referred to supervisors, mediated, or resolved through alternative resolution, and the timely and substantive follow- through on Internal Affair’s recommendations for management actions and training referrals. d. The Inspector General shall review, and comment if necessary, on any revisions proposed to any policy/procedure prior to final adoption of any revisions. Reviewed: 10/18/2023 Revised: 02/29/2024 Rescinds: 10/14/2021 Effective: 03/21/2024 14.1 Page 3 of 5  SHERIFF’S POLICY MANUAL e. Authority to prioritize, review, audit and inspect all departmental expenditures, payments, purchases, cash activity, budget process, time and attendance, overtime, or other identified payroll or budget activities. f. Directs, oversees, and approves any / all staff inspections and audits which are mandatory, general, special or spot inspections. F. Responsibility 1. The Division of Internal Investigations and Compliance: This component is responsible for Internal Affairs, Public Corruption, and Staff Inspections. Their responsibilities include investigating complaints and allegations of policy violations and criminal wrongdoing involving employees. The division is responsible for enhancing the accountability of BSO operations. This is accomplished by conducting impartial assessments of BSO facilities, property, and equipment, in addition to overseeing the administrative and operational duties of employees. This component serves in an advisory capacity to the sheriff and specific boards of inquiry to assess operations or employee performance. 2. The Division of Policy and Accountability: This component is responsible for accreditation, Criminal Justice Information Systems (CJIS) compliance, preparing and coordinating policies and procedures, BSO-wide forms, in addition to research projects, studies, and surveys affecting BSO's policies, procedures, operations, and management. 3. The Division of Internal Audit: This component is responsible for monitoring the financial and operational activities of BSO through an independent audit of BSO's fiscal activities. It submits reports and recommendations concerning identified deficiencies noted during audits. G. Inspector General Investigations: Reviewed: 10/18/2023 Revised: 02/29/2024 Rescinds: 10/14/2021 Effective: 03/21/2024 14.1 Page 4 of 5  SHERIFF’S POLICY MANUAL 1. Authorization: All Inspector General Investigations must be authorized by the Inspector General or designee. 2. Should the investigation indicate a specific policy violation, the circumstances will be reviewed with the Inspector General or designee, and if appropriate referred to Internal Affairs for further investigation. 3. Preliminary Report: Upon the conclusion of the investigation, a preliminary report will be drafted outlining the findings and recommendations. This report will be reviewed by the Inspector General, after which a copy will be provided to the undersheriff and applicable executive director(s). 4. Command Response: The applicable executive director(s) will have an opportunity to review the preliminary report and within 30 days of receipt the executive director(s) or designee will: a. Provide a written response addressing the findings and recommendations. b. Request an extension, in writing, to the Inspector General if more time is needed to formulate a response. 5. OIG Review and Additional Investigation: The OIG will review the executive director's response once it is received. If the response necessitates further investigation, the OIG will conduct the investigation to ensure the accuracy and completeness of the final report. 6. Final Report: After the review and any additional investigation(s), the final report will be drafted. This report will incorporate the response from the affected entity. If no response or extension request is received from the executive director within the given timeframe, the final report will be published as-is. Reviewed: 10/18/2023 Revised: 02/29/2024 Rescinds: 10/14/2021 Effective: 03/21/2024 14.1 Page 5 of 5  SHERIFF’S POLICY MANUAL 14.2 STAFF INSPECTIONS: A. General: The staff inspection process is designed to improve the Broward Sheriff’s Office’s (BSO's) efficiency, effectiveness, and accountability. Staff Inspections' role will be to conduct audit and non-audit inspections of selected BSO facilities, property, equipment, employees, administrative, and operational activities. B. Responsibility and Authority: 1. Staff Inspections reports to the captain of Internal Investigations and Compliance, Bureau of Compliance and Accountability, Department of Professional Standards and Investigations. 2. No direct command authority over inspected areas will be vested in Staff Inspections. 3. During a staff inspection, unrestricted access to inspected facilities and their contents will be granted. 4. Staff Inspections will be authorized to direct questions (written or verbal) to any employee, vendor or inmate. 5. Staff Inspections will be authorized to conduct in-person visual observations of any employee’s job performance. 6. Employees will be required to provide assistance to Staff Inspections upon request and cooperate in the inspection process. 7. Questions on authority to inspect and analyze records and files will be referred to the captain, Division of Internal Investigations and Compliance. C. Procedure: 1. Periodic staff inspections will be conducted at each BSO component. a. Department of Professional Standards - Staff Inspections is responsible for conducting staff inspections at all law Reviewed: 10/18/2023 Revised: 01/19/2024 Rescinds: 10/14/2021 Effective: 02/08/2024 14.2 Page 1 of 3  SHERIFF’S POLICY MANUAL enforcement, administrative, and Department of Detention and Community Control components. b. The Department of Fire Rescue and Emergency Services is responsible for conducting staff inspections of all fire-related components. 2. Notification: a. The Staff Inspections captain or designee will notify affected commands of impending inspections prior to the start of the inspection via memo or email. Exception for unannounced inspections. b. The notification memo/email will include requests for the availability of documents, records, data, and current staffing levels from the affected command. 3. Preliminary and Post Meeting: A pre and post-inspection meeting with the Staff Inspections captain or designee, lead inspector, and affected commander will be held. D. Staff Inspections' Limits: The Staff Inspections captain will have the responsibility and authority to decide the areas inspected and when the inspection will be completed except as specifically cited by the sheriff or designee. Refer to the Staff Inspections Standard Operating Procedures for specific inspection procedures. E. Staff Inspections' Reports: 1. Documentation: Staff Inspections will create a formal report that specifies the objectives, authorities, observations, conclusions, and recommendations for improvement. To include, any positive aspects of the area inspected. Any exhibits and backup documentation utilized will be attached to the final report. 2. Authorization: After the formal report is completed, the Major – Inspector General, Bureau of Compliance and Accountability, will review the report and if approved, authorize its release to the Executive Director of the inspected component. The Executive Reviewed: 10/18/2023 Revised: 01/19/2024 Rescinds: 10/14/2021 Effective: 02/08/2024 14.2 Page 2 of 3  SHERIFF’S POLICY MANUAL Director of the inspected component will forward the report to the inspected component’s command. F. Follow-Up Process: 1. Inspected Component Command's Response: Within 20 working days of receipt of the inspection report, the inspected component’s command will submit a written response to the captain, Division Internal Investigations and Compliance, detailing any actions taken or a proposed course of action to correct non-compliance issues to address recommendations made on the report. A copy of the response will be forwarded to the inspected component’s Executive Director, via the chain of command. The Staff Inspections captain will attach the response to the original staff inspection report which will be kept on file in Staff Inspections. 2. Administrative Issues: Administrative issues noted in the inspection report beyond the component command's control will be sent to the affected Department’s Executive Director. The Staff Inspections captain, via memo or email, will indicate specific areas of the report requiring a written response, noting any administrative action or inaction taken on each issue. 3. Re-inspection: A re-inspection may be scheduled by the Staff Inspections captain. Reviewed: 10/18/2023 Revised: 01/19/2024 Rescinds: 10/14/2021 Effective: 02/08/2024 14.2 Page 3 of 3  SHERIFF’S POLICY MANUAL 14.3 LINE INSPECTION: 14.3.1 General: A. Line inspections should be conducted in a continuous cycle to verify employees are within compliance with BSO Policy and Procedures; to include: 1. Personal appearance 2. Uniform standards 3. Equipment use and maintenance 4. Facility condition B. Line inspections will be the primary responsibilities of supervisors, managers, , and directors. C. Supervisors will be required to engage in thorough line inspections. They must plan, direct, and guide their component toward an ever-improving level of performance. D. The purpose of line inspections will be to identify and correct discrepancies. 14.3.2 Procedure: A. Inspections will include facilities, property, equipment, activities, and employees under the inspecting supervisor's control. B. Supervisors will ensure their employees are properly equipped for duty. C. Daily inspections of employees will be conducted by immediate supervisors, with attention directed to the following: 1. Personal appearance and grooming. 2. Uniforms/Attire 3. Leather or Equipment Reviewed: 03/24/2021 Revised: 05/05/2021 Rescinds: 10/11/2010 Effective: 10/14/2021 14.3 Page 1 of 3  SHERIFF’S POLICY MANUAL 4. Name Tags/Badges D. Monthly inspections will be conducted by immediate supervisors, with attention directed to the following: 1. Driver License: Employees driving BSO vehicles will have their Florida Driver License checked for expiration. Employees with expired licenses will not be permitted to operate vehicles. 2. Vehicles/Equipment: BSO vehicles and vehicles' assigned equipment will be inspected per policies and procedures. E. Monthly Evaluation Summary Report Deputy Monthly Inspection Report (BSO RP 10/DJ 18), Civilian Monthly Inspection Report (BSO RP 10A) and Motorcycle Deputy Monthly Inspection Report (BSO RP 10M): This report will be used by supervisors to document personnel, vehicles, and equipment inspections. The report will be reviewed and filed as follows: 1. DLE / DOD Sergeants will complete the Deputy Monthly Inspection Report (BSO RP 10/DJ 18) on a monthly basis. 2. Civilian Managers / Directors with employees who are assigned take home vehicles will complete the Civilian Monthly Inspection Report (BSO RP 10A) on a monthly basis. 3. Where applicable, DLE Sergeants will complete the Motorcycle Deputy Monthly Inspection Report (BSO RP 10M) on a monthly basis. a. Supervisors will maintain an RP 10/DJ 18 report for each of their required employees. b. Component commands will periodically review their employees' RP 10/DJ 18 report to ensure both supervisory and employee compliance with this section. c. Original completed RP 10/DJ 18 reports will be included in employees' district/division personnel files. Reviewed: 03/24/2021 Revised: 05/05/2021 Rescinds: 10/11/2010 Effective: 10/14/2021 14.3 Page 2 of 3  SHERIFF’S POLICY MANUAL F. Inspecting supervisors will conduct inspections impartially. G. Supervisors will ensure identified deficiencies are remedied in a timely manner. This may include a re-inspection of those deficiencies to ensure suitable corrective action was taken. H. Inspections denoting serious deficiencies of employees, equipment, or facilities will be documented in an official memo to the next higher command level. This memo will include a plan of action and target date for corrective action. I. Component commands receiving a written memo will take needed steps to ensure corrective action was taken. If corrective action cannot be taken at this level, the memo will continue, via chain of command, until an appropriate level is reached. Each chain-of-command level will document and attach to the memo any action taken. Reviewed: 03/24/2021 Revised: 05/05/2021 Rescinds: 10/11/2010 Effective: 10/14/2021 14.3 Page 3 of 3  SHERIFF’S POLICY MANUAL 14.4 DISTRICT/DIVISION/SECTION SELF INSPECTION: 14.4.1 General: A. Component commands will identify areas of deficiency and determine how frequently these areas need to be inspected. An inspection schedule will be prepared for all those involved in the inspection process. B. The inspection schedule should be fluid, changing as deficiencies are corrected and new areas needing inspection are identified. 14.4.2 Supervisor Involvement: Supervisors will be responsible for inspecting their assigned areas and any other area determined via their command. 14.4.3 Command Review: Command staff or designees will: A. Review the supervisor's completed reports and any supervisory recommendations. B. Decide what administrative action will be required when a problem is identified. C. Collect completed reports, verify corrective action was taken, and brief their command. 14.4.4 System Evaluation: Component commands will assess the self-inspection system quarterly to ensure their needs are being satisfied. Reviewed: 03/24/2021 Revised: 05/05/2021 Rescinds: 10/01/2008 Effective: 10/14/2021 14.4 Page 1 of 1  SHERIFF’S POLICY MANUAL 14.5 INTERNAL AUDIT: 14.5.1 General: A. Internal Audit will recommend efficient internal controls of BSO activities. B. Internal controls comprise the entire system of controls and methods (financial and otherwise) established by BSO to: 1. Safeguard its assets 2. Ensure records reliability 3. Promote operational efficiency 4. Monitor adherence to policies and procedures C. Internal Audit reports to the Major - Inspector General, Bureau of Compliance and Accountability. 14.5.2 Internal Audit Responsibility and Authority: Internal Audit will review, appraise, and report on the following: A. Soundness, adequacy, and application of internal controls. B. BSO assets, interests, and safeguards against losses due to: 1. Fraud and other offenses 2. Waste 3. Inefficient administration 4. Other causes C. The suitability and reliability of financial and other BSO management data. 14.5.3 Independent Operation: Reviewed: 03/08/2021 Revised: 10/05/2021 Rescinds: 10/15/2014 Effective: 10/14/2021 14.5 Page 1 of 4  SHERIFF’S POLICY MANUAL A. Internal Audit must be sufficiently independent to allow its auditors to perform their duties effectively and impartially. B. Internal Audit will have: 1. Direct access to all directors and the Sheriff. 2. Independence from audited command staff. 3. Independence from all BSO financial operations. 4. The right to report on any BSO financial operation. C. Internal Audit's auditing activities will be unrestricted, in compliance with generally accepted auditing standards. D. Auditors will have the complete right of access to records, assets, and employees including confidential information. 14.5.4 Internal Control: A. Internal Audit will review the soundness, adequacy, and application of internal controls (financial and otherwise). B. BSO will plan and control its expenditures and revenue to meet its goals and objectives. C. Expenditures and revenue will be in accordance with BSO policies, procedures, and the law. D. BSO assets will be kept in proper custody and not wrongly applied by error or intent. E. Transactions should be correctly recorded, accurately processed, and control accounts maintained. 14.5.5 Irregularities and Fraud: A. Internal Audit will attempt to reveal serious defects in internal control systems. Reviewed: 03/08/2021 Revised: 10/05/2021 Rescinds: 10/15/2014 Effective: 10/14/2021 14.5 Page 2 of 4  SHERIFF’S POLICY MANUAL B. Auditors will be alert to corruption possibilities, be obligated to report all material discrepancies, and inform applicable command levels of justifiable findings. 14.5.6 Audit Reports: A. Auditors must have adequate and relevant evidence to support their conclusions and recommendations. B. Findings and recommendations will be promptly given to the Executive Director, Department of Professional Standards to forward to applicable directors and/or the Sheriff. 14.5.7 Audit Completion: Upon completion, the Internal Audit Director will: A. Assess if audit objectives were achieved. B. Ensure audits have adequate support documentation on findings and conclusions to prepare a complete and accurate report. C. Ensure reports were prepared upon the completion of the audit. 14.5.8 Follow-Up Procedure: A. Audited directors will prepare a response on each recommendation. B. The response will be completed and returned to the Internal Audit Director within 30 days after receipt of the audit report. C. Audited directors' responses will be included in the final audit report. 14.5.9 Management Responses: A. Directors will be responsible for the implementation or rejection of Internal Audit report recommendations. B. Internal Audit reports with responses from directors that dispute findings and/or recommendations will be sent to the Sheriff to determine the audit report's recommended implementation. Reviewed: 03/08/2021 Revised: 10/05/2021 Rescinds: 10/15/2014 Effective: 10/14/2021 14.5 Page 3 of 4  SHERIFF’S POLICY MANUAL 14.5.10 Petty Cash and Informant Funds Audits: The Internal Audit Director or designee will conduct an audit of petty cash and informant funds quarterly. The results of the audit(s) will be documented in an audit report(s). The audit report(s) will be submitted to the Sheriff or designee. Reviewed: 03/08/2021 Revised: 10/05/2021 Rescinds: 10/15/2014 Effective: 10/14/2021 14.5 Page 4 of 4