Audit Committee

AGENDA Audit Committee Wednesday, May 1, 2019 6:00 pm – 8:00 pm City Hall, Room 103 A. Approval of the Wednesday, April 10, 2019 Meeting Minutes B. 2018 Work Plan  Public Utilities Department – Water Business Office  Central Services Department – Fleet Management Program  Sheriff’s Office C. Sheriff’s Office Response to the Audit Report D. Items for Discussion at next meeting The next meeting is scheduled for Wednesday, June 12, 2019 Note: The Audit Committee Meeting is open to the public. However, public comments are not received unless the Committee Chair requests that an individual provide information to the Committee. O F F I C E OF O P E R A TI O N A L ANA LYSIS T H E U N I F I E D G O V E R N M E N T O F A T H E N S -C L A R K E C O U N T Y , G E O R G I A 300 College Avenue, Suite 202  Athens, Georgia 30601  (706) 613-3012 w w w .a t hen s c la rk e c o u n ty . c o m /236 /Opera tio na l-Ana lysis-O ffice  AUDIT STATUS REPORT DATE: May 1, 2019 TO: Audit Committee FROM: Stephanie Maddox, Internal Auditor SUBJECT: Status of the 2018 Audit Work Plan The following table summarizes the current status of each audit according to audit stages. Please find a description of the audit stages below. WORK IN PROGRESS Status Completion Audit Percentage indicates completion level Forecast Operational Audit of the Pre-Audit Planning – 100 % March 2019 Clarke County Sheriff’s Office Discovery Stage – 100% Analysis – 100 % Conclusions – 100% Recommendations – 100% Public Utilities Department – Pre-Audit Planning – 100 % May 2019 Water Business Office Discovery Stage – 100% Analysis – 65% Conclusions – 75% Recommendations – 75% Central Services Department – Pre-Audit Planning – 90 % June 2019 Fleet Management Program Discovery Stage – 50% Analysis – 25% Conclusions – 0% Recommendations – 0% Audit Stages PRE-AUDIT PLANNING: OOA staff conducts literature reviews, identifies benchmark communities, creates the pre-audit survey(s), and prepares a list of documents to request from various ACC departments related to the audit client. OOA staff schedules a pre-conference meeting with the audit client/department leadership to discuss the audit process, the timing of fieldwork, and answer any questions. DISCOVERY: Interviews, information validation, observations and surveys. As this stage is critical to the preparation of a complete and meaningful audit, it consumes the majority of time involved. ANALYSIS: Assigning meaning/value to the information; determining what it reveals related to the scope of the audit. Defines systems, processes and practices in terms of effectiveness and efficiency. CONCLUSIONS: Identifies and describes constraints and opportunities regarding developments and implementation of needed improvements. RECOMMENDATIONS: Suggests action that can be taken in consideration of the constraints and opportunities.  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED STAFFING: Recruitment and Retention 1. The Sheriff’s Office is Improve recruitment and retention Reserve Deputy Program is complete. It is now being Completed understaffed due to low efforts to reach total authorized levels. advertised through NEOGOV and HR’s weekly job postings. retention and recruitment Coordinate with HR to finalize the levels. reserve deputy program. Implement as an initiative for the next budget cycle. 2. Recruitment levels are low Enhance recruitment efforts to attract 1. Attending local job fairs. Ongoing due to lack of qualified qualified applicants. 2. Created advertisement video to be shown in movie applicants. theaters and posted on social media. 3. We created billboard advertisements and placed them in strategic locations within the county. 4. We created recruiting cards for staff to disseminate to prospective applicants. 5. We've hosted open house job fairs. 6. Initiated "each one, reach one initiative" while promoting the hiring and recruitment bonus. 2. Follow-up: Of the action items listed to be implemented, please indicate which of the recruitment initiatives are new since the audit began (March 2018). Please provide additional details about video advertising. For example, what is the frequency of the video advertisements? At what theatres are they being shown? How many videos are advertised on a weekly basis? Are advertisements on a certain day? Where are the billboard advertisements strategically located? How long will they be advertised? After the intended time frame for advertising expires will additional advertising be considered? Please provide the information advertised on the billboards. Please provide clarification on the "each one, reach one initiative". How are staff incentivized for any applications received due to the dissemination of the recruiting cards? Page 1 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 3. Employees are not given Offer realistic job preview during the Consider offering and scheduling this option at the initial jail Consider starting in 2 a realistic expectation of the recruitment process. tour. months job function and jail environment during the recruitment process. 4. An alternative schedule is Change the 12-hour shifts from 8-8 to None. Adjusting the 12 hours shifts to a different time frame None needed and may positively possibly 6-6 or 7-7. Or implement 8 or (6-6, 7-7) creates a hardship for those deputies who have improve attrition and 10-hour shifts in place of 12-hour shifts. school aged children. Changing the 12 hour shifts to 10 retention rates. hours or 8 hours will result in more positions needed to cover posts and therefore it is not a feasible option. 4. Follow-up: The employee survey revealed that 137 out of 139 employees responded to this question. Approximately 63% of respondents indicated they were open to an alternative work schedule (24% of employees indicated they were in favor of a shift change and 39% of employees indicated they were open to the idea). Please explain what would be the reason the Sheriff's Office would not be willing to explore this option further. 5. Scheduling of overtime is Improve communication between Overtime is generally known a month in advance. Completed poorly implemented. divisions and supervisors regarding Substituting overtime is no longer allowed. overtime schedules or have one person The Jail Operations Captain is the overtime coordinator. responsible for coordinating the overtime scheduling. 5. Follow-up: Please explain the reason substituting overtime is no longer allowed. Are personnel across every rank subject to work overtime? 6. Overtime is inconsistently Some employees are paid overtime at Mandatory overtime at the Jail is paid overtime. Deputies are None processed between the Field the rate of time and a half and others not required to time adjust mandatory overtime. Time and Jail Divisions. are required to time adjust for any adjusting is required outside of mandatory overtime or overtime worked. Appropriate overtime in the Field Section as the CCSO must be good compensation of overtime pay or comp stewards of tax payer dollars. time earned instead of time adjusting when staffing levels are already reduced will help morale. Page 2 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED TRAINING: New Hires 7. No comprehensive formal Provide in-depth training to new hires There has always been a formal JTO training program. 6-12 months to digitize training program exists for and abide by the JTO program that was However, it was not updated when the new Jail was it, and train the trainers new hires at the jail. last updated in October 2017. constructed. Furthermore, the program degraded from lack of oversite. The program is a ten (10) week course of instruction, and has since been updated with new oversite. This will aid in ensuring the program is followed as intended. The trainers in the program are also receiving the professional training that is needed to maintain the integrity of the program. 7. Follow-up: Please indicate the number of staff who maintained their Jail Training Officer (JTO) certification during the audit time period (FY14-FY18). Please explain what "6-12 months to digitize" entails. What is the estimated timeframe it will take to certify and train the trainers? As stated in the audit report, the JTO program was last updated in October 2017; however, the program has been inactive for some time. Since the program will be re-established, please explain how the SO will accomplish increasing training for new employees at the jail from the current method of nomore than 3 - 5 days of training to 10 weeks of training? Will the SO provide this extended training to the existing employees who have been hired after the opening of the "new" jail? How will the extended training for the existing employees be accomplished? Page 3 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 8. Insufficient staffing in the Training should be conducted in Shifts will be re-balanced to evenly distribute personnel 3 months jail is resulting in a lack of accordance with the JTO guidelines last experience. This will result in each shift having adequate and experienced employees updated in October 2017. Training experienced trainers. available to train new hires. Officers should have a minimum of 2 years of experience working as a Deputy within the CCSO before training new hires. 8. Follow-up: The SO action plan states, "shifts at the jail will be re-balanced to evenly distribute personnel experience." Please identify the steps being taken to achieve this goal. Please describe what this will look like after all changes have been made. Who determines the distribution of personnel (staff volunteers for a different shift or Command Staff makes changes without staff input)? 9. There is an over-reliance Increase in-person training sessions Online classes are important for efficiency and financial 3-6 months on online training classes and utilize qualified staff members to reasons. Recognizing the need for more individualized offered through Power DMS. provide professional development instruction, plans are underway to host more live on-site courses. training that pertain specifically to operations of the Sheriff’s Office. Page 4 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 9. Follow-up: As stated in the audit report, many employees expressed a strong desire to participate in instructor-led courses versus computer based training. The audit team has verified that there are several instructor-led training options available throughout ACCUG. For example, CPR/AED courses are offered by the Fire Department, Police Department, the Safety and Risk Division of Human Resources, and the Leisure Services Department. In addition, the Police Department offers training in Crisis Intervention, Fair and Impartial Policing, Surviving Active Shooter, and Verbal De-escalation, and the UGA Police Department teaches Interpersonal Communications and Cultural Diversity at the Athens-Clarke County Police Department. All of these courses are relevant and open to employees of the Sheriff's Office. These classes are convenient, affordable, and offer the least disruption to agency operations. The convenience of these public safety related courses are similar to the supervisory training courses offered by the Organizational Development Department, which many SO staff verified they attended. Please provide the reason why the SO does not take advantage of these training opportunities for all of its employees which are available from other departments/agencies. 10. On-site training (such as Provide and support training and career Opportunities for training in the Sheriff’s Office is not based On-going classes offered thru GPSTC, development opportunities for all on favoritism, but on staffing and scheduling, position GSA, jailer school, etc.) is employees. assignment and requirements, tenure, prerequisites for the not offered to all Sheriff’s training itself, and the member’s demonstrated commitment Office employees on a to the Sheriff’s Office. consistent basis. Page 5 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 10. Follow-up: As stated in the audit report, survey results indicated 57% of respondents answered affirmitively that the supervisory teams (up to and including the Sheriff) show favoritism towards certain employees. What the employees hear, see, think and experience is the basis of their perception and their reality. As it relates to training opportunities, please describe the criteria that is evaluated to determine if an employee is succcessfully demonstrating commitment to the Sheriff's Office. How is this measured? Are employees aware of the specific indicators they are evaluated against? When staffing levels are low, training limitations are understandable. However, training prerequisites are normally offset by support of the supervisory staff allowing employees to gain those prerequisites. Further, position assignments are controlled by the supervisory staff not the employee. As such, it is highly probable that staff believes a culture of favoritism exists. How/what changes could the SO make to mitigate the perceptions of employee favoritism? It is understood that supervisors attend regular training and conferences. What is the value/benefit of this supervisor training and what is the procedure used for selecting those who can attend? TRAINING: Job Related 11. Supervisors have shown Provide training to supervisory and 1. Newly promoted supervisors will be prioritized to attend On-going a lack of supervisory and management staff on communication supervision level training if they have not already received it. communication skills. skills - both verbal and written, and 2. Various leadership classes will be identified and offered to supervisory skills. mid level and upper level supervisors. 12. Job related leadership Existing supervisory personnel need to Current staffing levels presents challenges in meeting this On-going training is not provided to train their employees to become task. In the past, roll call trainings do present opportunities staff. supervisors by allowing them to observe for members to receive direct training from their supervisors. and perform leadership duties. This method of training will be re-instituted with an emphasis on leadership development. Page 6 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 12. Follow-up: Please define roll call training. It is expected that a Sergeant would assist Senior Deputies vying for promotional opportunities. For example, job shadowing and performing some of the Sergeant's tasks would prepare them for the duties of a higher position. The same is true for Sergeants vying for Lieutenant positions, and Lieutenants vying for Captain positions. How clarify how staffing levels present a challenge for supervisors in giving their subordinates guidance to help them prepare for promotional opportunities? 13. Staff members who are Utilize more job specific sources in The Sheriff’s Office is utilizing its instructors for defensive On-going certified instructors are not training, including JTO instructor, tactics, Taser, CPR, and firearms instruction. The JTO utilized to conduct in-house defensive tactics, Taser, CPR, firearms, instructor will be utilized in the near future to conduct a JTO training at the SO. and general instruction. class. There are, however, a number of instructors who have a general instructor certificate that are underutilized that could be used for other non-specialized instruction. Utilizing these other instructors will be further explored for new employee orientation and Basic Jail Security training. TRAINING: Discrepancies Between Divisions 14. The length of training Increase Jail Division training to more The full JTO program is to be implemented which is 10 Completed offered is significantly closely reflect Field Division training weeks in length. The FTO program is 12 weeks in length. different between the Jail both in length of time and in-depth Division and the Field coverage. Division. Page 7 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 14. Follow-up: The SO's response in Finding #7 states, "it will take 6-12 months to digitize the JTO Program and train the trainers." Please clarify how this recommendation is already complete considering the 6-12 months of required steps, please explain the implementation time frame to Finding #14 as being completed. Explain the steps of the digitization process and the time necessary for each step. How many deputies will initially complete the training required for the JTO program; how many per shift? 15. Training is inconsistent Supervisors' interpretations of policies 1. Update JTO program so that procedures are uniform and 6 months throughout each shift in the and procedures must be made uniform the curriculum is consistently taught by all JTO’s. jail. across divisions so that transferring 2. Jail Post orders are currently being reviewed by employees will have clear, non- supervisors and updated as necessary. This will aid in contradictory instruction on how to bringing consistency to jail operations. perform their duties. 3. Roll call training as mentioned previously will require supervisors to re-familiarize themselves with written policy and post orders. 15. Follow-up: How will this action plan be implemented to ensure that existing/seasoned staff will be trained under the same model as new hires? How will or what will the command staff do to verify/test that all shifts are receiving uniform training? Page 8 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED SAFETY and SECURITY 16. Inmate disciplinary Disciplinary actions need to be explicitly Disciplinary time is specified in policy and it is based on the N/A actions are applied communicated in SOPs and understood inmate’s facility behavior. Inmate disciplinary time cannot be inconsistently. by all supervisory and subordinate staff modified unless it goes through the appeal process with the and then applied consistently. Jail Commander having the final decision for sustaining the original disciplinary time or approving any reduction of time. Acts of violence are considered a major violation and are addressed with the stiffest penalties. In some cases, in addition to the administrative disciplinary time, inmates are criminally charged for certain acts of behavior inside the Jail. With regards to comments that inmates “run the jail”, CCSO team members are encouraged through the Direct Supervision model to enforce unit housing rules and regulations, and supervisors are instructed to support any reasonable deputy responses to rule infractions. No inmate or groups of inmates are allowed to “run the jail”. 16. Follow-up: As stated in the audit report, staff interviews and survey responses definitively identified the former Jail Commander as the primary staff member in violation of established policies and procedures at the SO regarding reducing inmate discipliny time or the dismissal of inmate disciplinary actions altogether. How many inmate disciplinary appeals were conducted by the Jail Commander during the audit time frame of FY14-FY18? During the audit time frame (FY14-FY18) how many cases were documented of inmates being criminally charged for misbehavior inside the jail? 17. New hires do not receive Training should be longer than three Previously addressed in number’s 7 and 14. 6-12 months adequate training to develop days and new hires should have a clear the confidence necessary to understanding of their authority before work the housing units alone they are exposed to large groups of in the jail. inmates. Page 9 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 17. Follow-up: Provide the details of the JTO training that will take place for those hired since January 2019 while the enhanced digitization of the program is being finalized. 18. Reopening the old jail for Additional housing units should not be Inmate population, staffing levels, and safety and security N/A alternative or additional opened until staffing reaches optimal are primary factors for determining the opening and closing housing units creates safety, levels. of housing units. The Sheriff’s Office competently assesses staffing, and security those factors in determining which housing units are opened challenges. and closed. This is an ongoing assessment with safety and security for all at the forefront of these assessments. 18. Follow-up: Who is responsible for assessing the factors which determine the housing units that are opened and closed? How often are these assessments considered? Due to the staffing shortages, spreading out the housing units creates difficulty for staff to respond with assistance; especially at those times when there is no victor on shift. What circumstances would necessitate the opening of the additional units within the older sections of the jail? 19. Deputies working Recruitment and retention levels must 1. Overtime is spread evenly among deputies at the Sheriff’s On-going excessive overtime hours be improved to reduce the number of Office. have a higher propensity to overtime hours needed to provide 2. Recently, six members from the Field Section were experience fatigue and adequate coverage of all security posts. transferred back to the Jail Section to supplement Jail burnout during their shifts. If needed, overtime should be spread to staffing and to reduce overtime. all available personnel to limit the 3. Recruiting efforts are ongoing. Members are attending amount of excessive overtime any staff recruiting fairs, members are being asked to recruit at least member has to experience. one person – “Each one, Reach one” initiative. Recruiting efforts have extended to billboard advertisements and movie theater promotional videos. 4. The Sheriff’s Office has taken over the initial applicant background investigation process from HR in an attempt to speed up the hiring process. Page 10 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 19. Follow-up: Have additional staff been assigned to recruitment efforts? When was the billboard and movie theater advertising implemented? What are the strategic locations of the billboards? Are there any other new recruitment initiatives in addition to billboard advertisements and movie theater promotional videos? Is there a financial incentive to employees who participate in the "each one, reach one" initiative? If so, what is the financial incentive and is it a one time incentive or accumulative over a designated period of time? Have recruitment results been realized (seen) by the SO due to the billboard and movie theater advertising? Please share those results if they have been realized. Please explain how taking over the initial background investigations from HR will "speed up" the hiring process. Have additional SO staff been assigned to conduct backgrounds? If so, how many additional staff are assigned to this task? What is the total number of staff assigned to recruitment? Page 11 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 20. Components of jail Install metal detectors at the front doors Certified, armed deputies work the Lobby. Inherent within the N/A operations are unsafe and of the lobby, lock the front doors after law enforcement profession is always a risk that is expose the entire jail to visitation hours, place an additional understood by the member behind the badge, regardless if possible security threats. deputy at the front desk, and move the the assignment is working the lobby or serving an arrest front desk so that it is not in a direct warrant on a private property. There is a unique balance sight line of the front doors. between fortifying the Lobby area to significantly reduce risks and providing a customer service atmosphere that we consider appropriate for visitors. The Sheriff’s Office is not considering adjusting security by placing metal detectors at the main entrance or moving the front desk. There are metal detectors in the Lobby that separate the public area of the lobby from the secure area of the Jail and those metal detectors will remain. One additional security measure that the Sheriff’s Office is considering that was mentioned in the audit is a locking mechanism on the front doors to the lobby that can be overridden by a remote switch controlled by the deputy. The Sheriff’s Office foresees this recommendation as very beneficial in that it provides the deputy working the lobby an additional layer of security and more control over public access to the lobby area. 20. Follow-up: Occupational health and safety of employees is a primary concern in public safety as well as general employment. Would the SO consider relocating the front desk as mentioned in the audit report so that it is not in the direct sight line of the front doors? 21. Volunteers related to Jail personnel need to follow the A thorough review and assessment of applicable policies, Immediate inmate programming are not Visitation/ Programming Policy procedures, and practices to ensure that standards are being required to follow the regarding volunteers and student followed to eliminate potential or actual breaches in security. established visitation policy interns accessing the jail. nor do they undergo background screening. Page 12 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 21. Follow-up: After the review and assessment of policies, which policies were determined to need adjustments? What were the specific adjustments considered and implemented? Does the SO plan on reviewing policies on a regular basis; if so, how often (semi-annual, annually, etc.)? Who is responsible for conducting the reviews? 22. Due to staffing There should be two victors assigned Assessing staffing levels to ensure the victor positions are Immediate shortages, critical positions per shift, one transferring inmates and covered. Of particular note is assessing staffing on the whose main responsibility is one assisting deputies in the pods. If weekends and nights when there are less deputy support the safety of deputies in the coverage is needed for an inmate positions available that can respond to incidents for backup. jail are typically the first to be outside of the jail, deputies from non- reassigned to a different security posts, such as laundry detail, function. should be used to cover as needed. 22. Follow-up: Please list what changes have been implemented that will provide adequate coverage for the safety of employees and inmates. 23. Staffing shortages in the Recruitment and retention must be See comments on #19. On-going Jail Division are resulting in improved to assure proper coverage of improper jail security. all security posts within the jail. 23. Follow-up: As in #19, have additional staff been assigned to recruitment? When did the SO assume the responsibility of the background investigation process from Human Resources? What recruitment outcomes are anticipated by taking over the initial applicant background investigation process from Human Resources and how will these outcomes be measured? Please specify/quantify the changes and improvements in numbers and retention levels you are expecting as an outcome of these additional efforts. Page 13 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED MORALE & LEADERSHIP 24. Employees fear Employees should be allowed to uphold The Sheriff’s Office does not lead by fear and intimidation. N/A retaliation from the the policies and procedures of the jail Our policies and actions reflect that. The Sheriff has an open supervisory staff. without fear of disciplinary actions being door policy and reminds deputies of that often. Just this taken against them. week, the Sheriff met individually with a deputy to hear his/her concerns. The meeting request was granted in an open environment (occurred at a shift briefing). Deputies are welcome and invited to share any concerns. Any instances of leading by fear, intimidation, or retaliation will swiftly be addressed if it becomes known. 24. Follow-up: While we agree the policies do not support the action of supervisors leading by fear, numerous accounts were expressed in the employee survey. In addition, employees indicated in interviews that a culture of intimidation did actually exist. According to the employee survey results, 54% of employees stated they cannot speak honestly with their supervisor. What actions will the SO be willing to take to determine how the perception of retaliation affects retention levels? If an instance occurs where it is reported that the Sheriff has lead by fear, intimidation, or retaliation, who addresses the action? What is the specific policy for reporting retaliation? Page 14 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 25. Morale is low due to Training, safety, overtime, sick leave 1. Training: Strengthen the JTO program; Offer more live Immediate factors including leadership, abuse policy, favoritism, leadership, and training versus online training; Offer more basic and lack of training, and safety inconsistencies in enforcement of fundamental training. concerns which have all disciplinary actions need to be 2. Safety: We contend that the Jail is safe. Any attempted negatively impacted addressed and improved to raise threats or committed acts of violence against staff or against retention. morale. other inmates is handled swiftly. There was not a riot in Unit 5 as reported by a respondent in the audit. 3. Sick Leave Abuse: At one point sick leave abuse was rampant. It has now been addressed according to fair practices. There is no longer a wide spread sick leave abuse problem. Our leave usage policy comports with other policies from other departments in the Unified Government. Although our policy states that members may be required to furnish “examinations performed”, this was not a practice. No member of the Sheriff’s Office was required to submit personal medical data in violation of HIPPA, only a physicians note for an absence. The policy language will be changed. 4. Favoritism: Decisions from Command and Supervisors are made fairly and equitably. If by chance any decisions that are made are known to be biased or based in favoritism, it will be corrected. Again, all personnel are welcome to voice their grievances, but if it is not known it can’t be corrected. Favoritism is not a part of the Sheriff’s Office culture. 5. Leadership: Much of what the audit suggested has already been addressed in a prior responses. One change that was implemented in recent months is that all of our supervisors are required to enter every housing at least once per shift. This is to support the deputies for breaks and to attend to any pending issues that may be present in the housing unit. The audit suggests that the leadership team is not aware or concerned with the reasons former staff have voluntarily left the agency. This is not true. All members that leave voluntarily are interviewed and in some cases accommodations are made to retain the member. Page 15 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 25. Follow-up: Training: What additional live training opportunities will be offered? Safety: According to the employee survey, 64% of employees responded that jail safety is a major concern. Can you explain the difference in the high percentage of concern expressed by employees in relation to jail safety and the contradictory contention of administration that the jail is safe? Sick Leave Abuse: The leave usage policy may appear to be beneficial to the SO if one is only looking at a reduction in the use of leave hours by employees. However, the fear felt by employees regarding disciplinary actions for using that earned leave has a negative impact on morale. As stated in the report, this policy "has also proven to encourage employees who are ill to come to work even though they may be contagious and the disease could spread to co-workers, inmates, and visitors". Favoritism: In the response "If by chance any decisions that are made are known to be biased or based in favoritism, it will corrected", why would they be allowed to be made if they are known to be biased or based on favoritism? How likely is the "chance" that these decisions will be discovered if they are not known? The Command Staff may state that personnel are welcome to voice grievances, but with results in the survey showing that 54% of the employees feel that they cannot speak honestly with the supervisory teams (up to and including the Sheriff) about issues and concerns, it is highly unlikely that the employees will do so. 26. Disciplinary policies are Jail leadership should demonstrate a For the most part, we contend that disciplinary actions are On-going not enforced consistently common understanding of disciplinary consistently applied. For any variations in disciplinary among staff. policies and enforce disciplinary actions actions, the following reasons suggest why that may occur: equally among violators. 1. Past record; 2. Rank, length of service & knowledge of the rules; 3. Attitude – Will the member accept discipline or blame others; 4. Aggravating Circumstances – Was there an injury to others; 5. Mitigating circumstances. Page 16 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 26. Follow-up: We understand that an employee's past record, previous offenses, and even aggravating circumstances can affect the type of disciplinary action taken against the employee. However, how does rank, length of service, knowledge of rules or even how the employee will accept discipline play into the overall disciplinary decision? Why aren't disciplinary actions based soley on violation of policy or failure to follow written protocol. Is a person of higher rank held to a higher standard? If not, why not? Do they receive more leniency because of their rank? Are the exact standards cited in the department's disciplinary policy? Were any mitigating circumstances documented? How does the SO defend their decisions if one feels they are not treated fairly based on a similar scenario? 27. Employees of the Abolishment of the currently The Sheriff’s Office does not have a sick leave abuse policy, N/A Sheriff’s Office perceive the implemented Sick Leave Abuse Policy but we do have a leave usage policy. The leave usage policy Sick Leave Abuse Policy and replace with a revised Leave Usage is similar to other departments in the Unified Gov’t. and enforcement as a form Policy. Enforcement of the leave usage policy is not based as a of punishment and form of punishment or retaliation, but simply to prevent retaliation. members from abusing a privilege afforded to them as an employed member of the Sheriff’s Office, particularly in light of how sick leave abuse can diminish morale for those members who have to work overtime to cover for those members who are using excessive, unexcused sick leave. Enforcement of the leave usage policy was supported by HR. Page 17 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 27. Follow-up: The leave usage policy which was referred to routinely by employees of the SO as the "Sick Leave Abuse Policy", appears to be beneficial to the SO if one is only looking at a reduction in the use of leave hours by employees. However, the fear felt by employees regarding disciplinary actions for using that earned leave has a negative impact on morale. As stated in the report, this policy "has also proven to encourage employees who are ill to come to work even though they may be contagious and the disease could spread to co-workers, inmates, and visitors". While the enforcement of this policy is not based as a form of punishment or retaliation, it is perceived by the employees as such. 28. The Sick Leave Abuse Abolishment of the currently The Sheriff’s Office contends that it has achieved its desired N/A Policy has not achieved its implemented Sick Leave Abuse Policy effect. Initially there were approximately 25 individuals who desired effect. and replace with a revised Leave Usage were deemed sick leave abusers, now it is 5 or less. Policy. 28. Follow-up: If the SO's determined the Sick Leave Abuse Policy has achieved its desired effect and it is no longer an issue why not abolish the policy and replace it with a revised Leave Usage Policy? 29. The Sheriff's Office Sections II A. 1, 2, 3, and Section II B. 2 Revision to Section II A 3, and Section II B 2 only to remove Immediate Leave Usage Policy needs need to be revised. the phrase “examination(s) performed”. to be revised. 30. Lack of trust in the All supervisory and management staff Prior Responses relate to this category. On-going leadership exists across all within the Sheriff’s Office need to build divisions of the Sheriff’s a rapport of trust with all employees. Office. 31. Leadership at the jail The Sheriff's Office must reevaluate and Changes in leadership at the Jail has occurred in part due to Completed contributes to low morale in some cases replace current Jail this audit, but mostly for other reasons. and lack of trust by Division leadership in order to restore employees. employee confidence and morale. 32. Operations at the jail are The current Jail Commander should be There has been a change in the Jail Commander position. Completed negatively impacted by the replaced with an individual who upholds actions of the Jail the code of conduct of the Sheriff's Commander. Office. Page 18 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 33. The Sheriff is unaware or The Sheriff needs to make a more The Sheriff visits the Jail regularly, and is apprised of On-going uninformed of the issues concerted effort to address and operations and conditions at the Jail. within the Jail Division. acknowledge all of his employees. The Sheriff should make every effort to visit the jail regularly (at least bi- monthly) to encourage informal contact with staff and inmates and to informally observe living and working conditions at the jail. 33. Follow-up: Many employees, from Deputies to Captains, believe that the Sheriff would be far more involved if the former Jail Commander had better informed him of problems at the jail. With the appointment of a new Jail Commander are there plans to increase the information provided to the Sheriff by that position? Based on comments from staff, how could the Sheriff use his office at the jail to enhance his relationship with those employed at the jail? 34. The leadership team The SO should hire a consultant to Recent survey was administered and those surveys were On-going either do not know or are administer an employee survey annually meticulously reviewed and assessed. A number of initiatives unconcerned with the to understand the level of job were employed as a result of the responses from those reasons former staff satisfaction amongst employees. surveys. Consideration will be given to using an outside voluntarily left the Sheriff’s consultant for future surveys. Office. Page 19 of 20  Athens-Clarke County Sheriff's Office Response to Audit Findings - April 2019 ACTIONS TO BE TAKEN IMPLEMENTATION AUDIT FINDING RECOMMENDATION -OR- TIME FRAME PLAN TO BE IMPLEMENTED 34. Follow-up questions: The language in the audit report specifically suggests the SO hire an independent third-parrty consultant to administer anonymous employee surveys annually or until retention and recruitment levels increase. Anonymous surveys are beneficial as employees can express their concerns freely; the feedback shared is what should be focused on rather than who provided the information. Were the surveys administered by the SO anonymous? If not, what statements or questions within the surveys garnered assurance to the employees that they could be honest when responding? How many surveys has the SO administered between September 2018 and April 2019? Please provide copies of all surveys initated by the SO between September 2018 and April 2019 along with the subsequent responses. As a result of the SO survey responses, please identify the new initiatives recently employed. Page 20 of 20