Report to / Rapport au:
OTTAWA POLICE SERVICES BOARD
LA COMMISSION DE SERVICES POLICIERS D’OTTAWA
24 April 2017 / 24 avril 2017
Submitted by / Soumis par:
Chief of Police, Ottawa Police Service / Chef de police, Service de police d'Ottawa
Contact Person / Personne ressource:
Chris Rheaume, Superintendent, Planning, Performance & Analytics / Superintendant, planification du rendement et de l’analyse
SUBJECT: COMPLIANCE WITH MINISTRY STANDARDS: 2016 ANNUAL REPORT
OBJET: CONFORMITÉ AUX NORMES MINISTÉRIELLES : RAPPORT ANNUEL 2016
That the Ottawa Police Services Board receive this report for information.
RECOMMANDATIONS DU RAPPORT
Que la Commission de services policiers d’Ottawa prenne connaissance du présent rapport à titre d’information.
In 2001, the Provincial Government enacted Ontario Regulation 3/99 under the Police Services Act of Ontario (PSA). The regulation, named Adequacy and Effectiveness of Police Services, is intended to ensure police services boards and police services implement the mechanisms required to provide effective delivery of policing services to the community and ensure compliance with the Act and its regulations.
In accordance with direction set out in the Calendar of Monitoring Requirements and outlined in Board Policy BC-2(a), the Board is provided with an annual report on Compliance with Ministry Standards.
The Ottawa Police Service (OPS) has established a system of controls required to ensure the adequate and effective delivery of policing services. The Planning, Performance and Analytics (PPA) Section administers quality assurance activities such as management reviews and inspections, risk and process assessments, and internal audit engagements. PPA is also responsible for the administration and maintenance of up-to-date and relevant procedures.
These activities provide assurance that OPS operations are adequate and effective, and conform to Ministry of Community Safety and Correctional Service (Ministry) Standards. The activities also assist the organization in assessing the efficiency and effectiveness of existing controls; identifying gaps or deficiencies; and recommending process improvements by making recommendations and supporting the development of management action plans.
Compliance with Ministry Standards
The OPS is committed to fostering a strong risk management culture. The organization has an established Enterprise Risk Management (ERM) program based upon the ISO 31000 Risk Management Standard. The program has embedded risk management principles and practices throughout key processes. The program enables the systematic management of risk, aids the achievement of objectives, strengthens governance practices, and helps members make confident and risk informed decisions.
A key quality assurance and risk management activity is Control Self Assessment (CSA). CSA is a review process leveraged to proactively improve operational efficiency, assess compliance with Ministry Standards, increase accountability, and support the alignment of OPS practice and procedure. CSA is a facilitated approach that empowers management and process owners in the active oversight of risk and compliance. It reinforces the expectation that processes owners remain compliant with legislation and ensuring policy and practices align. The approach also provides guidance and training on risk management processes and alerts management to new and emerging issues and risks.
Over the past three years the OPS has reviewed all 84 Standards, including over 2,000 Ministry guidelines. All OPS operations relating to the Standards have been found to be compliant with legislation. Opportunities to improve efficiency have been identified and are being addressed through Directorate Operational Plans. The CSA process is cyclical and will continue support identifying improvements that can be leveraged to enhance service delivery. The output of the exercise informs the organizations risk landscape and the development of the risked based internal audit plan.
Internal Audit Services
As prescribed by Board Policy CR-9 Audit Requirements, the OPS submits an annual audit plan. In 2016 the plan included four audit engagements.
Policy Management Framework (Chief’s Procedures): Effective policy management is a critical component of good governance. The audit objective was to evaluate the effectiveness and efficiency of the OPS Policy Management Framework. Opportunities for improvement were identified in relation to resources capacity, oversight and monitoring, and governance process. All recommendations related to this audit have been completed.
Property and Evidence Control: The Property and Evidence Control (PEC) Section is audited annually as mandated by the Board. Each engagement is risk based, ensuring routine coverage of general property, evidence, securities and firearms. The 2016 audit objective assessed compliance to policy and procedures and evaluated sufficiency of controls employed by the PEC Section over jewellery and security items. Internal audit identified opportunity to improve the effectiveness of the lost and found service and enhance record keeping. Management action plans are being developed in response to the findings and will be monitored through audit follow-up.
Overtime Management: The engagement assessed the adequacy, efficiency and effectiveness of management processes, practices and controls to support overtime activities. Specifically, the engagement assessed: sufficiency and appropriateness of controls related to completion, review, authorization, approval and payment of overtime requests; compliance with established standards, policies and collective agreements; and effectiveness of reporting. Recommendations included enhancements to monitoring and oversight, control processes and improved automation to better support organizational objectives. Management action plans are being developed in response to the findings and will be monitored through audit follow-up.
Mandated Training: Internal audit is in the planning phase of this engagement, which will provide assurance that the OPS training program is effectively supporting employee development and is compliant with legislative requirements. The outcome of this audit will be reported to the Board as part of the 2017 Compliance with Ministry Standards Report.
In addition to the above, the status of past internal audit recommendations are monitored on an ongoing basis. In order to support the OPS in achieving operational goals, the Internal Audit also provided numerous consulting activities related to program delivery, adequacy of controls, safeguarding of assets and process and system reviews. For example, Internal Audit provided input on regulated interactions; the gender audit; the Enterprise Risk Management Framework; the Policy Management Framework; and formulation of recommendations for internal operational reviews.
The Police Services Act (PSA) requires every Chief of Police to develop procedures and processes for every aspect of policing. The OPS Policy Management Framework employs a tiered approach through the provision of various policy instruments including Service Policies and Standard Operating Procedures. The Policy Management Framework also provides the process to ensure service policies are compliant with current legislative and operational requirements. During the past year eight (8) service policies were revised and six (6) were created.
5.19 Regulated Interactions
3.32 Law Enforcement Privacy Protection
2.22 Social Media
9.17 Public Order
3.33 Recovery of Overpayments and Amounts Owing
3.31 On Call
3.19 Performance Management
3.23 Promotion to the Rank of Superintendent
5.03 Vehicle Theft
9.04 Event Management
3.25 Promotion Processes Sergeant and Staff Sergeant
3.10 Promotion to the Rank of Inspector and Superintendent
1.06 Internal Audit
5.41 Public Rewards
As a result of enhancements to the Policy Management Framework, recommendations from Internal Audit, and significant organizational changes to improve the sustainability of the OPS service delivery model, a comprehensive review of all procedures has been initiated. The review will ensure that these policy instruments are current and consistent.
There is no financial impact from this report.
The Ottawa Police Service continues to fulfil its regulatory obligations and maintain compliance with Adequacy Standards through quality assurance, risk management, policy development, and internal audit functions.
Annex A: Compliance with legislative requirements contained in the Provincial Adequacy Standards
FRAMEWORK FOR BUSINESS PLANNING
SKILLS DEVELOPMENT AND LEARNING
WORKPLACE HARASSMENT PREVENTION
USE OF AUXILIARIES
USE OF VOLUNTEERS
MANAGEMENT OF POLICE RECORDS
MARKED GENERAL PATROL VEHICLES
SAFE STORAGE OF POLICE SERVICE FIREARMS
FRAMEWORK FOR ANNUAL REPORTING
USE OF FORCE
SPEED MEASURING DEVICES
EQUIPMENT - BODY ARMOUR
WORKPLACE VIOLENCE PREVENTION
ACOUSTIC HAILING DEVICES
TERRORISM RESPONSE AND NOTIFICATIONS
PRELIMINARY PERIMETER CONTROL AND CONTAINMENT
HOSTAGE RESCUE TEAMS
MAJOR INCIDENT COMMAND
GROUND SEARCH FOR LOST OR MISSING PERSONS
UNDERWATER SEARCH AND RECOVERY UNITS
COMMUNICATIONS AND DISPATCH
CRIME, CALL AND PUBLIC DISORDER ANALYSIS
CRIMINAL INVESTIGATION MANAGEMENT & PROCEDURES (CIMP)
HATE/BIAS MOTIVATED CRIME
JOINT FORCES OPERATIONS
INTERNAL TASK FORCES
SEARCH OF PREMISES
SEARCH OF PERSONS
POLICE RESPONSE TO PERSONS WITH MENTAL ILLNESS
PAID INFORMANTS AND AGENTS
PRISONER CARE AND CONTROL
TRAFFIC MANAGEMENT, ENFORCEMENT AND ROAD SAFETY
STOLEN OR SMUGGLED FIREARMS
CONTROL OF EVIDENCE AND PROPERTY
ELDER AND VULNERABLE ADULT ABUSE
OFFICER NOTE TAKING
BAIL AND VIOLENT CRIME
DOMESTIC VIOLENCE OCCURRENCES
CHILD ABUSE AND NEGLECT
RESPONDING TO OCCURRENCES INVOLVING FIREARMS
PROPERTY OFFENCES (INCLUDING BREAK AND ENTER)
SEXUAL ASSAULT INVESTIGATION
CHILD PORNOGRAPHY (INTERNET CHILD EXPLOITATION)
SUDDEN DEATH AND FOUND HUMAN REMAINS
FRAUD AND FALSE PRETENCE INVESTIGATION
PARENTAL OR NON-PARENTAL ABDUCTIONS
PROCEEDS OF CRIME
SUSPECT APPREHENSION PURSUITS
ONTARIO SEX OFFENDER REGISTRY
POLICE RESPONSE TO HIGH RISK INDIVIDUALS
PUBLIC ORDER UNITS
POLICE ACTION AT LABOUR DISPUTES
POLICING ABORIGINAL OCCUPATIONS & PROTESTS
1 Compliance is defined as “the conformity and adherence to policies, plans, procedures, laws, regulations, contracts, or other requirements” (Institute of Internal Auditors, 2013).