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00-570Council File # � RESOLUTION GreenSheet# 1�s3`j`j �' �CI�TY OF SAINT PAUL, MINNESOTA J9 / Presented Referred To Cownuttee Date RESOLUTION ACCEPTING Tf� REPORT ENTITLED "A STUDY OF POLICE EMPLOYEE SURVEY ISSUES, PHASE II: DEPARTMENTAL ISSUES" 1 WHEREAS, the Saint Paul City Council commissioned a study of management practices in the Saint Paul 2 Police Department and the City Council directed the Council Investigation and Reseazch Center to conduct this 3 study; and 4 WHEREAS, the Council Investigation and Research CenYer has completed phase II of this study; now therefore, 5 be it RESOLVED, that the Saint Paul City Council accepts the report entitled, A Study of PoZice Employee Survey Issues, Phase II: DepaMmental Issues. Requested by Departrnent of: � Form Approved by City Attomey � by Mayor for Submission to Council SY: �� � s I-� n--�..-r�� BY� ApprovedbyMayor: Date �dfl,� Z-'7'Zi�a By: c��'�c � Adopted by CouncIl: Date Adoption Certified by CouncIl Secretary D'e s"�d Council Councilmember Jim Reiter GREEN SHEET No 1 O 3�; 7 0 �,��� 6-7-00 oa�rc.a�a. 6-14-�� � �� rn.�noeEr anamc xauie�c aloet ❑ �on�mfiCFSU� wuxwta ❑ wvoRt�.assuxn ❑ TOTAL # OF SIGNATURE PAGES (CLIP AlL LOCATIONS FOR SIGNATUR� Accept the report "A Study of Police Employee Survey Issues, Phase II: Departmental Issues." iun� iun s�pprove �A� w ece�eu PLANNING COMMISSION CIB COMMRTEE CML SERVICE COMMISSION I�:L� IF AMOUN7 OF TRANSACTION f Has thie P�um e.erwa'ked under a ari6act for tlis tlepaAmenl? YES NO Fles m"m Pe!eo�Jfi�m ewr been a dlY emWuYee4 YES NO Dces mis percoMim a� a s�a� na normalNa� br any aaren[ cay empwyeev YES NO Istlus pewaKnm a tafge[ed �MOYt YES NO COSTRlEVENUE BUIXiETED (CIRCLE ON� ACTIVT' NtAABER YES NO (a�� _'.�� � pb -5`!b CITY CC)UNCIL RESEARCH REPORT A Study of Police Employee Survey Issues Phase II: Depa�tmental Issues ��� ti w O �� ��� 185� �� � `�► � �� h�� Saint Paul City Council Council Investigation and Research Center Saint Paul, Minnesota GITY � `` �. � �D�S� Saint Paul City Council City Counci! Investigation 8� Research Center Saint Paul, Minnesota 55102 (651) 266-8560 www.ci.saint-paul.mn.us/counciUcirc/ A Study of Police Employee Survey Issues Phase N: Departmental lssues June 2000 Director Gerry Strathman Poiicy Analyst David Godfrey Questions? If you have questions regarding this report please contact Gerry Strathman at (651) 266-8575 or gerry.strathman@ci.stpaul. mn.us � _� INTRODUCTION The Saint Paul City Council, as the goveming body for the City of Saint Paul, is responsible for hearing and investigating complaints about City operations. In recent yeazs, Councilmembers have received complaints from some Police Department employees abouY the management of that department. Ia response to these complaints, the City Couacil direcYed Council Research to commission a survey of Police employees. The Councii Research Director setected Gantz-Wiley Reseazch based on their demonstrated expertise and their ability to compare the survey results from the Saint Paul Police Depamnent employees with a national reference group. Gantz-Wiley Reseazch is a private company headquartered in Minneapolis specializing in employee and customer survey reseazch. The corporate mission for Gantz-Wiley Research is to contribute to their clients' success by helping them better understand and act on the view of their employees and customers. Gantz-Wiley Research completed the confidential survey of Police Department employees in the Spring of 1999. They received responses from 433 of 748 employees surveyed. This response rate of 58 percent is considered excellent for a mail survey. Gantz-Wi1ey Reseazch conducted and reported an anatysis of the survey data. Council Reseazch conducted additional anatysis of the survey data. These analyses identified several suengths within the Police Department. Job satisfacrion and immediate supervisors were highly rated and exceeded expectations based on the national WorkTrends data. There were, however, other areas where the Police employees' responses were less favorable. We grouped these azeas into three categories. These categories and the areasincluded in each are: ❑ Services to rhe Public • Risk to the public • Police officer safety • Adequacy of police resources ❑ Deparlmentallssues • Promorions • Employee recognition • Senior management • Management of the emergency communication center • Employee involvement 6a .sna ❑ Other Issues • Alleged use of traffic quotas • Qualificarions of police recruits � � In the Summer of 1999, the City Council directed Council Research to futther investigate the "Services to the Public" issues. We conducted this study and reported the resuits to the City Council in the report ri8ed "A Study of Police Employee Survey Issues, Phase I: Services to the Public" in November 1999. This study found that: ❑ Based on the Police DepattmenYs "total response time" for priority two and three calls, there is no evidence to support the assertion that the public is at a greater risk than in prior years; and ❑ Based on the officer assault data, there is no evidence to indicate officers face a greater physical risk than in prior years; and ❑ Based on interviews conducted with the Palice DepartmenYs senior officers, there is no evidence to support the assertion that the Deparnnent lacks adequate resources to meet its public safety responsibilities. Upon receipt and consideration of the "Phase I: Service to the Public Report," the City Council directed Council Research to conduct an addirional study of the "Depamnental Issues" identified from the Police employee survey. To that end, Council Research prepared a research design for Yhis study that the City Council approved in January 2000. The City Council approved some modifications of the initial design in February based on recommendations for amendments &om Council Research. Purpose of this Re�ort This report presents Council Reseazch fmdings and analysis regarding each of the "Departmental Issues" identified from the Police employee survey data. We then examine conclusions based on these findings and analysis to determine if the Police Department is being managed in conformance with City policies and good management practices. Should our conclusions suggest the Potice Department is not following City policies, then we will recommend changes in either City policies or Police Deparpnent practices to aclueve alignment. If the Police Department is found to not to always follow the best management practices, we wiil make recommendations for improvements. EMERGENCY COMMUNICATIONS CENTER The City of Saint Paui's Emergency Communicafions Centers (ECC) have long been troubled arganizarions. They have been almost conrinually distressed since their creation two decades ago with the advent ofthe universal "911" emergency service system. At that time, the City 2 � S�� hired a consultant to assist with system design and recommend how emergency communications systems should be organized. The consultant recommended a single emergency communications center for both Police and Fire, staffed with civilians and managed by the Police Department. The City ignored this recommendarion for almost twenty yeazs unril finally implementing the plan last year. Ttris twenty-yeaz delay in adopting the consultanYs recommendation stands as testimony to the power of personalities and politics to obstruct the implementation of professional recommendations. The fact they have provided quality emergency communicarions services during these twenty years of tutmoil stands as a testimony to the ability of dedicated employees to provide good public service despite poor political and management decisions. Given this history, it is not surprising the emp]oyees of the Police Emergency Communications Center provided profoundly negative responses, when surveyed by Gantz-Wiley Research last year, to a11 but one category of the survey questions. The only exceprions to this general negativity were questions about "7ob Satisfaction." In this single category, ECC employee responses were among the highest in the department It appears, despite general dissatisfaction with their work situation, most ECC employees like the kind of work they do and derive personai sarisfaction from providing public service. This finding is particularly importani because it shows ECC respondents were thoughtfu] iw their responses and did not just respond negatively to every question in the survey. Gantz-Wiley Reseazch used twelve categories to summarize the results of the Police employee survey. The respondents from the ECC gave the lowest level of favorable ratings to eleven of these twelve themes. Some themes, such as Customer Service, Performance Feedback, Work Effectiveness, Qualiry, Senior Management and the Departrnent Overall showed the percentage of favorable responses to be 10 to 20 percentage points lower than the Police Deparhnent as a whole. In other themes, such as Immediate Supervisor, Training, Working Conditions and Career Development the percentage of favorable responses was 20 to 30 percentage points lower than the Police Department as-a-whole. Not only were these favorable ratings far lower thaa the Department as-a-whole, they were in some cases remarkably low. For example, only 16 percent responded favorably to questions about "Training," and only 14 percent responded favorably to questions about "Working Conditions." Astonishingly, only 4 percent responded favorably to quesrions about "Employee Tnvolvement " These responses aze not only very low when compared with the Police Department as-a-whole, but they aze even worse, in most cases, when compared with WorkTrends� data from government employees nationally. For example, the responses of ECC employees reflected a 49 percentage points lower rate of favorable response to questions about "Working Conditions" and a 35 percentage points lower rate of favorable response to questions about "Employee Involvement " There can be little doubt, based on these responses to the Gantz-Wiley employee survey, there were serious problems within the ECC. f�] Since the Survev As we seek to interpret the results &om the Gantz-Wiley survey, understanding the situation in the ECC at the time Gantz-Wiley conducted Uus survey is important. Of all the many low points for the ECC during the past 20 years, the Spring of 1999 may haue been the lowest. Almost everything was in flux within the ECC at this time. Planning was underway to finaily merge the Police and Fire emergency communications centers. Mayor Coleman had ordered this consolidarion in late 1998 and negotiations were underway between the Police Department, Fire Depamnent and the Mayor's Office about how to achieve a merger. Anxiety was high among ECC employees who did not lmow how the merger would affect them or their work situation. The computer-aided dispatch (CAD) system had recently been upgraded and their workpiace was under construcrion. There were problems with noise, air quality and comfort. Simultaneously the Department was installing new workstations and installing and testing new equipment. In additiott, departmentai leaders were in the process of making decisions about the firture management of the ECC. To make matters worse, there were continuing staff shortages resuiting in increased individual workloads. These situations were compounded by a long- standing belief that the police officers and managers did not realiy appreciate or respect the work being done by the civilians in the ECC. Given these problems, understanding the frvstrarions expressed by ECC employees through the employee survey in the Spring of 1999 is not difficuit. A great deal has happened in the ECC in the yeaz since Ganiz-Wiley Reseazch conducted this employee survey. T'hey have compieted the merger of the Police and Fire communicarions centers and they have appointed a civilian manger to oversee the ECC. The redesign and renovation of the ECC have been completed and they have installed a great deal of new and impraved equipment. They have appointed new civilian shift supervisors and training for these supervisors is ongoing. Also, the consolidation of the two communicarions centers has made it possible to redistribute workloads so more personnel are available to handle incoming 911 calls. Consultants Importantly, the Police Department has engaged the services of two Senior Business Consultants &om the Office of Human Resources to help with the development and implementation of plaus "to establish the most effective Emergency Communications Center in the nation." Ttiis management iniriative, begun in the Summer ef 1999, includes assessment, anatysis, recommendations, implementarion and evaluation. The assessment phase was completed in October 1999 with a report presented to Police management based on information &om nine employee focus groups. Goals statements and acrion plans were developed based on this information and analysis. The specific goals they adopted were: 4 ��-S�o 1. Strengthen the communication link between manager, supervisors and employees; 2. Establish consistency between supervisors in administration of policies; 3. Manage and monitor the �ansition process; 4. Establish standards and expectations for employees; 5. Provide necessary training for staff; and 6_ Finalize hiring of staff complement authorized. This project reached the evaluarion phase with a survey of ECC employees being conducted by the Human Resources consultants in March of 2000. The survey asked ECC employees to rate progress towazd the accomplishment of each of the transition plan goals on a scale of 1 to 5 with 5 signifying the highest degree of progress or complerion. It also asked respondents to describe "What issues have not yet been addressed yet?" and "What do you believe aze the next steps or strategies that should be undertaken?" Twenty-two (37%) of 59 employees responded to the survey. T'he results of this survey were mixed. Between four and ten of the respondents gave generally positive responses depending on the goal. Ten were generaily positive about the goal of hiring staff to authorized levels but only four were positive about consistency aznong supervisors. Responses regazding the other four goals were in the middle. Eleven, or 50%, of the respondents were quite negative with no ratings above two for any goal. Many respondents provided extensive written comments addressing a variety of concems and providing suggestions. Since the survey did not collect demographic information such a shift or job title &om respondents, determining the types of respondents who were more posirive from the more negative is not possible based on their position in the organization or any other criteria. Nevertheless, the number of generally negarive responses is conceming, and it suggests they have not yet accompiished their organizarional goals. Recognizing the ECC remains in a state of fluu is, however, important and it is relarively early in the transirion process. For example, they have promoted almost half the employees in the ECC in the past year and they aze continuing to hire new staff. Training for six new shift supervisors is incomplete and many issues aze yet to be addressed. It is also important to remember the merger of the two communication centers took place only last year. Therefore, while these early evaluarion results may be disappointing, it is far too early to reach judgement about the Police Department's ability to manage the merged ECC. Conclusions There can be little doubt the ECCs have been a troubled organizarions for a long 6me. It also appeazs that a serious effort is underway to resolve these difficulries. They have accomplished 5 much in the past year to improve both the physical work environment and general working conditions, but much remains to be done. However, we believe the Police Deparknent is engaged in a serious and positive effort to address the problems evidenced by ECC employees in the 1999 Gantz-Wiley survey. We also believe this effort will take more rime but it holds promise. Recommendation 1: We recommend the Police Deparhnent be recognized for its current e, fj'orts to improve the ECC and it be allowed time to �.xperience the results of these e„�`'orts. Periodic assessments ofprogress should continue 10 be made by the Police Deparlment. �lt this time, however, we recommend the Police Department be encouraged to continue, with assistance of the Human Resources Senior Business Corrsultants, its current efj'orts to build "the best emergency communications center in the country. " PROMOTIONS The survey of Police employees raised concems about how the Chief awazds promorions in the department. Some respondents reflected these concems in responses to both the structured survey questions and in the written comments. The written comments also raised issues about how the Chief handles transfers within the department. We are investigating some concems expressed about promorions, but for reasons explain later in this report, we aze not addressing transfers in this study. The Gantz-Wiley survey inciuded five quesrions relating to promotions. These questions asked about Imowiedge of job openings, opportuniries for advancement and fairness. The question regarding empioyees lmowledge of job openings and opportunities for advancement received ratings very similaz to those in the narional WorkTrends° data. The questions about fairness, which were quesrions added to the survey instrument by the City, and For which there is no comparative data, received decidedly negarive responses. Only 22 percent of respondents felt the Police Department applied personnel policies fairly and only 15 percent gave a favorable response when asked if the Police Department handled promotions and transfers fairly. Written Comments The written responses contain a variety of claims and assertions regarding favorirism and discriminarion. Some accused the Chief of having personal favorites to whom he gives preference for promotions and transfers to desired assignments. Others claimed the Chief uses race/ethrticity and gender as considerarions in selecting candidates for promorion. Interestingly, these claims about race/ethnicity and gender conflict. Some believe he favors women and others ciaim he favors men. Similazly, some claim he favors African-Americans while others think he C� �6 - S�� favors wlvte candidates. Respondents made assertions in some written comments that the Chief improperly manipulates the personnel system to advance the interests of a favored few or particulaz gender or raciaVethnic groups. They asserted the Chief has timed personnei requisitions to help the candidacy of certain individuals and he has "stacked" oral boazds to hopefully advance the cause of certain individuals or groups. In addition, some claim he has sought to influence Human Resources to score tests in ways that increase the number of tie scores to maximize the number of candidates available to him for selection. While investigating each of these "system manipularion" claims might be possible, we believe looldng at `Yesuits" is much more direct and efficient. The important thing is not whether the Chief has attempted to influence the system, but whether actual promotions reflect bias in ways City policy or laws prohibit. City policies preclude the consideration of a candidate's race/ethnicity, gender and disability status when making promotion decisions, and we will focus on determining if the Police Deparhnent is following these policies. Transfers Not Studied Because survey respondents often mentioned concems about transfers in the written comments, we considered attempting to analyze transfers for evidence of prohibited discrimination or punirive transfers. Upon serious consideration, we concluded studying transfer practices within the Police Department is not practical. The principle problem is that it is virtually impossible to determine, at a given point in the past, exactiy which Police employees were eligible to be transferred to a particular assigunent. Without knowing exactiy who is eligible, comparing those eligible for transfer with those actually transferred is not possible. Therefore, it is not likely we could assess the probability the Police Department is employing prohibited selecfion criteria. Beyond the difficulty in establishing eligibles, achieving agreement about which transfers aze posirive and which are negative is di�cult. For example, a transfer to an administrative assignment may be considered highly desirable to an officer who aspires to become a police administrator. An officer who prefers direct law enforcement work may view the same assignment as undesirabte. Similazly, an of�icer may view an assignment differently at different cazeer stages. A rookie officer may view an opportunity to work, perhaps undercover, in narcotics as a great opportunity. This same officer, after working 20 years in patrol, might find such an assignment unattractive. Since determining who was eligibie for each possible transfer is very difficult, if not impossible, and since there is no agreement as to which assignments are desirable, we have reluctantly concluded examining transfers for evidence of race/ethnicity, gender or disability bias is not possible. None of these problems exist with respect to promotions and we will systematically 7 examine them in the succeeding sections. It may, however, be reasonable to assume, since the Chief of Potice makes both promotion and transfer assignments, if prohibited criteria are being considered in making transfers, these same factors should reveal themselves in the analysis of promorions. Affirmative Action Policies for Promotions The City of Saint Paul has an official policy of seeldng protected class applicants for City employment. The City seeks to advance this policy through the activities of the Affirmative Action D'uector who is charged with facilitating and monitoring the implementation of this policy Citywide. Promotions aze not, however, addressed in the City's affirmative action policy but are govetned by the Civil Service Rules. These rules do not provide for any preference among candidates based on race/ethnicity, gender or disability status. Because some respondents have suggested the Police Department may �ve preference for promotion Yo certain protected class employees to achieve a workforce that is more representative of the community, we asked senior police administrators if such a policy euists within the Police Department They told us, emphatically, the protected ciass status of employees is not a consideration when making promotions within the Police Deparkment. Process for Promorions Promotions are handled in the Police Deparhnent as provided for in the applicable Civil Service Rules and collecrive bazgaining agreements. Civil Service Rule 7(Eligible Lists ), Civil Service Rule 8(Filling Vacancies) and Civii Service Rule 14 (Promotion Requirements) prescribe the process to be foliowed by the Police Department for promotions. No bargaining agreement requirements contain provisions regazding promorions within the Police Department except for the few Police employees in the Professional Employees Association and the Saint Paul Supervisor Organization. With these two bargaining units, different practices aze to be followed if there aze fewer than three candidates on the eligible list. The process for promotions begins when the appointing authoriry submits a requisition to the Office of Human Resources asldng for a certified list of candidates for promorion to a particulaz title within the Police Deparhnent. The Office of Human Resources conducts tests and subsequently develops a promotional score for each qualified applicant. The Office of Human Resources tken certifies to the appointing authority the three highest scoring candidates, and the top three candidates from the appointing @ivision, plus ries. This means the appoinring a¢tkority always has at least three candidates to consider for each promorion. The appointing authority may promote any candidate on the certified list. There aze some slight variarions on this practice �a -s�� when there is more than one vacancy within a ritle to be filled, but the process is essenrially the same. While the appointing authority's discretion to promote is limited to choosing among caudidates on the certified list, the appointing authority has complete discretion when choosing among certified candidates. This exercise of discretion provides opportunities for the consideration of legirimate criteria such as aptitude, prior performance and attitude. It also provides an opporhuiity for the consideration of illegitimate criteria such as race/ethnicity, gender and disability status. In this study we will examine promotions awarded within the Police Department during the five-yeaz period of 1995 through 1999 to determine if there is evidence prohibited criteria are influencing promotions within the Police Deparhnent. Lawsuits and Sustained Grievances There aze legal remedies available to Police employees who are denied promotions due to the use of prohibited discriminatory criteria. These remedies aze available through the initiation of lawsuits against the City of Saint Paul under a variety of state and federal laws. There aze also opportunities for employees who are denied promotions, because of the failure of the Police Department to follow the City's Civii Service Rules or the terms of bazgaining agreements, to file grievances seeking remedies. Upon consultarion with the Office of the City Attomey and review of the records of the Office of Labor Relations, we found there have been no findings of prohibited discrixnination in promotions in the Police Department during the study period of the past five years. Statistical Analvsis It is possible using standard statistical methods to determine the likelihood that race/ethnicity, disability status or gender influences the outcome of promorion decisions. The basic principle is that by imowing the overall probability candidates will be selected for promotion, one can assess the likelihood the number of candidates selected from a particulaz subgroup of candidates, such as women, would occur by chance. If it is likely the particular distribution being examined could occur by chance or normat variarion, there is no staristical basis to conclude this variable is a factor in the decision-making process. If, however, it is found that the number of candidates selected for promorion from a particulaz subgroup is highly unlikely to have occurred by chance, one may infer this factor is influencing promotion decisions. To conduct this starisrical analysis, we created a data base including the name, race/ethnicity, gender and disability status for candidates for promotion the Office of Human Resources certified to the Police Department during the 5-yeaz period of 1995 through 1999. Also included 0 in this data base was a notation showing which candidates were actually selected for promorion. Council Reseazch conshucted this data base from copies of original records provided by the Office of Human Resources. It contains records for 305 candidates for promotion, 127 of whom were actually promoted . We do not include informarion from lists where all candidates on the list were promoted because the promotion of all eligible candidates precludes any possiblity of selecrion bias. The program used to conduct this analysis was the Statistical Pacicage for the Social Sciences and the staristical test used in ttris analysis is Peazson Chi-Square. The following sections analyze promotions in the Police Department by race/etluvcity, gender and disability. These analyses aze presented overall, by yeaz and by job type (swom and non-swom). Gender Table 1 displays the number of candidates for pmmotion and the number of persons promoted overall, by year followed by a brief interpretation of each yeaz. None of these data show statistically significant differences in promotions based on gender. For the purposes of this study, we aze considering any Clu-Square probability of p>.OS to be staristically significant. A probability of p>.OS means Yhere is less thau 5 chaaces in 100 this distribution would occur if there was no underlying relarionship between the two variables. The year 1995 shows a greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.091) 10 ts� �S'� The yeaz 1996 shows a greater percentage of male candidates were promoted, but this difference is not statistically significant. (Chi-Square = .147) The yeaz 1997 shows a greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.280) The year 1998 shows a greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.095) The yeaz 1999 shows a slightly greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.786) The total for years 1995-1999 shows a somewhat greater percentage of female candidates were promoted, but this difference is not staristically significant. (Chi-Square =.129) In view of the possibility there might be a difference regarding the effects of the gender of candidates for promotion to sworn and non-sworn positions, Table 2 displays the effects of gender for sworn and non-swom positions. Table 2. Promotions from 1995-1999 Type Non-Sworn Male Gender: Sworn and Non-sworn Female Sworn _ Male `Femate Percent 42.1% 19 65 36 43.1% �='68, 37.8% � 22 `:- " 53:7% Table 2 shows during 1995-1999 a slightiy greater percentage of female candidates for non-sworn positions were promoted, but this difference is not statistically significant. (Chi- Square = .940) Table 2 aiso shows during 1995-1999 a greater percentage of female candidates for promorion to swom positions were promoted, but this difference is not staris6cally significant. (Chi-Square = .062) A review of the findings and staristical calculations displayed in Tables 1 and 2 discloses there is no evidence, as determined by convenrional statistical tests and standards (p>.OS), gender was a factor in promotion decisions within the Police Department during 1995 through 1999. This is true when we conduct analyses by yeaz and when analyzing sworn and non-sworn positions sepazately. 11 Disabiliry Status We recorded and analyzed the disability status of all candidates for promotion for evidence disabiliry status was a factor in promotion decisions in the Police Department during the five- yeaz period of 1995-1999. Disability status as recorded by the City refers to self-reported disabilities which may not be appazent, or even lmown, by the appointing authority. Because of the small number of candidates who report disabilities, it is only possibie to conduct a statistical analysis for all positions for the entire period. Table 3 displays the number of candidates by disabitity status and the percentage promoted Table 3. Promotions durir Stafus -,_�=_`'., --_-- - Not Disabted 294 t I21 -- = _:-� _ _ _: 41.2% Table 3 shows a slightiy higher percentage of disabled candidates than not-disabled candidates were promoted during tfie five-year period of I995-1999 but this difference is not starisrically significant. (Chi-Square = .776) A review of the findings and statistical calculations displayed in Tables 3 discloses there is no evidence, as determined by conventional statistical tests and standards (p>.OS), disability status was a factor in promotion decisions within the Police Department during the period of 1995 through 1999. Race/Ethnicily To investigate the role, if any, of race/ethnicity in the promotion decisions made in the Police Department during the past five yeazs, we recorded the race%thnicity of each candidate for promorion and of those promoted. Table 4 shows these numbers and percentages for the period of1995-1999. Table 4. Promotions Race/Ethnicity -° White 280 � 111 I 39.6% African America - fi Hispanic 10 Asian --= ' = -� Native American 3 5 50.0% 0 ' 0.0% 2 66.7% Wtule there aze differences in the proportion of candidates promoted by race/ethnicity, the Chi- square test cannot be appropriately applied to these data because of the high percentage of data 1995-1999 by Disability Status [L'S��Ll3.� Csndidates �= 1 '/• Promoted 12 � � vO �J ! cells with an expected count of less then five. This makes the test unreliable. The data for 1997 and 1998 (Tables 5& 6) show that three of seven race/emicity minoriries were promoted in 1997 and one of four race/ettuiicity minorities were promoted in 1998. Neither of these proportions suggest any favoritism towazd minority candidates. Table 5. Promotions in 1997 by Race/Ethnicity Race/Ethnicity ,-- _ --_. Candidates -,_ _ :`-.Promoted White 58 20 __ � n _ �oted =_% Promoted 29 38.2% I Hispanic I 3 I 0 I 0.0% I Table 5 shows there were seven African-American and Hispanic candidates in 1997, of which three were promoted. Table 6. Promotions in 1998 by Race/Ethnicity RaceJEthnicity " Candidates White 7( -�,�- _...,- _ � African-American . .- . , I ` ` � �spamc I 2 � 0 � ' 0.0% � Native American 1 - 0 0,0% Table 6 shows there were four African-American, Hispanic and Narive American candidates in 1998, only one was promoted. Table 7. Promotions in 1999 by RacefEthnic Race/Ethmcity Candidates White 116 African-American - = ( Hispanic � - "°-_._ 5_ nsian _. _ _.._.__ Native Americaa l v __: - :.s �.- 2 34.5% f , , .r__ __ 48 41.4% 4 " ; 66.7% 5 100.0% �.,--_ �., � _��°_---_— --- 0- = 0.0% 2 100.0% 13 Table 7 shows the unexpectedly high number of Hispanics and Native Americans promoted in 1999. All of the candidates from ihese two groups were promoted Also, a somewhat higher than expected percentage of the African-American candidates were promoted It is very important to note this pattern exists only for 1999. As noted eaziier, there were no minority candidates in the years of 1995 or 1996. As in the analysis of the total promotions between I995-I999 (Table 4), the Chi-square test cannot be appropriately appiied to these data because of the lugh percentage of data cells with an expected count of less then five makes the test unreliable. In an effort to better understand the reasons all of the Native American and Hispanic candidates were promoted in 1999, we carefully examined the promorion lists from which they were chosen for any evidence they were given preference because of their race/ethnicity. This examination shows the two Narive tlmerican candidates were 1�` and 2"� on their respective lists. In neither case were there any higher ranking white candidates whom they also did not promote. A review of the promotions of all five Hispanic candidates in 1999 shows on one list the Hispanic candidates were 1� and 3rd. In this case the first four candidates were all appointed including the two wlute and the two Hispanic candidates. In the other three instances, the Hispanie candidates were 3�, 4'� and 5'" on their respective lists. In these Uuee cases, there were wlute candidates Ivgher on the list whom they did not promote. There is, however, nothing unusual about the selection of candidates who aze lower on the eligible lists. A review of Police Department promorions in 1999 where all of the candidates were white, shows many cases where lower ranking candidates were selected for promotion over higher ranldng candidates. There aze, for example, instances in 1499 where the Chief chose to promote the 2"d, 3"`, 4"', 5"', 6'�, or 7th ranking candidates from all-white lists even though there were other lugher ranked candidates available. The Chief often exercises his discretion as an appointing authority to choose Iower-ranking candidates from eligible lists and there is nothing to suggest the promotion of three Hispanic candidates who were 3'�, 4`� and 5'" on their respecrive lists is in any way unusual. Summarv A comprehensive review of promorions within the Police Department during the five-yeaz period of 1995-19991eads us to conclude the race%thnicity of candidates has had little, if any, effect on their likelihood of being promoted in the Police Department. The promotion data for 1999 do show an unusually high number of Hispanic and Narive American candidates were promoted in that year. The absence of any similar pattem in any other yeaz or among non-sworn personnel leads us to the conclusion this is not reflecrive of racial discrimination. 14 6fl — Conclusions The analysis of promotions within the Police Department for the five-yeaz period of 1995 through 1999 dces noY show raceletluucity, gender or disability status have improperly influenced promotion decisions. Policy Note: It u impossible not to notice the conflict between the City's policy, as reflected in the Civil Service Rules, that prorrtotions are to be made solely on merit, and the practice of the City s A�'irmative Actio» Director of recommending the promotion of certain candidates based on their protected class status. It appears this practice conflicts with City policy. It is also possible that knowledge of this practice leads Police employees to believe protected clars status is a factor in promotions when that does not appear to be the case. FORMAL RECOGNITION PROCESS Police Depaztment recognition of outstanding employee performance was a significant azea of concem for survey respondents. The Gantz-Wiley survey found many employees were concerned about the quality of recognition in the Department and there was a perceprion among many employees that recognition was not given to deserving empioyees. Overall, survey participants gave a 48 percent unfavorable response when asked if the Depamnent recognized good performance. Unfavorabie responses were especially high among staff in the FORCE unit (50°to), Street Patroi (51%), the Canine and Mounted Patrol unit (62%), and the Communicarion Center (85%). These findings aze significant in that the Saint Paul Police Department, as a pazaniilitary organizarion, has a long tradition of awarding formal recognitions. In addition, several respondents in the written comments of the survey were particulazly concemed that senior management awarded formal recognitions and commendations unfairly to staff favored by the Chief. Further, some of these staff suggested there were employees who deserved formal recognition but did not receive it because they were out-of-favor with the DepartmenYs senior management. Importantly, while Police Department employees identified the failure to recognize outstanding performance as a problem area, routine performance evaluation pracrices were not an issue. Research Methods While deciding whether senior management awards formal recognitions to the most deserving employees is impossible, we can examine if the Department uses a well-developed and formal process for awarding recognitions. The primary assumption of this analysis is that a well- developed process will iead to recognitions that employees perceive to be more credible and fair 15 fhan a less-developed process. To determine the levei of development of the Department's recognition system we conducted att inventory of all formal staffawards and commendations. We then interviewed senior management and members of the Commendarion Review Board to determine how eacisting processes work. We also reviewed any documents which pertain to the Department's recognition policies and practices. We analyzed the data obtained from interviews and the document review and compared them wifh the attributes of well-developed recognition processes &om lugtzly effective organizations. Tlus analysis is similar to that Council Research has used in its performance audits of various City Departmental activities and is based in large part on the Baldridge National Quality Criteria for Performance ExceIlence.` Where deficiencies in these processes and activiries aze identified, we make recommendations to correct or reduce problems. These recommendations aze included at the end of this section. Formal Recognition Process in a High-aerformin� Organization High-performing organizations have processes in place to systematicaily recognize outstanding performance. These processes provide recognition opportuniries which go beyond the normai compensation system. These recognitions could be monetary or non-monetary, formal and informal, as well as individual and group recognitions. '£he purpose of recognition practices should be to encourage all employees to contribute to organizarional goals. Employee recognirions should also foster high performance, adaptability and result in individual and organizarional learning. Also, in a recognition process which is well-developed we would eatpect to find a system which is widely understood by staff, involves many stakeholders, has established criteria and is updated regulazly for improvement. Findin�s There are eleven official recognitions which aze awarded by the Saint Paul Police Depariment. The criteria and methods for determining award recipients vary. Below, we outline the Department's awards, their criteria and the process for determining who receives each award. 17uee awards aze determined solely by the Chief, seven are awarded through the Commendation Review Board process and the Officer of Year Award is determined by a coaunittee and the Cluef. � For an example of a performance audit see Performance Audit of the Ciry ofSaint Paul's Labor Rela6ons Activities, August, 7999. 16 �o -S' ° Officer of the Year The Officer of the Yeaz Awazd recognizes the police officer who has demonstrated exceptional achievement in carrying out his or her duties. This is considered to be the highest level of achievement obtained by the Department's police officers. Officers and sergeants aze eligible and ali azeas of police activiries can be recognized, including crime prevention, community policing, investigarions and acts which demonstrate extraordinary valor. Candidates may be nominated by any officer in the Department. Each yeaz the Chief sends out a Depaztment-wide memo to announce the Department will be accepting nominarions for the award. A nomination form is sent separately thzough the DepartmenYs "Daily Bulletin" email. The Deparhnent requires the form be used to nominate someone. Nominations aze submitted to the Deparhnent's Personnel Director who forwards them to a screening committee. The committee, which consists of five commanders who do not supervise field staff, reviews the nominarions and submits three recommendadons to the Administrative team. The three finalists are announced to the Department and the Administrative Team makes the final selection. The final selecrion is announced at a luncheon, attended by the family and friends of the three candidates, senior leaders, and other members of the Department. Until 1999, the Officer of the Yeaz awazd committee did not have any criteria to guide its selections. To address this deficiency, the Department's current Personnei Director introduced a set of guidelines which were used by the committee when examining candidates. These criteria inciude three dimensions: (1) the lack of unfavorable behavior or activiries, such as disciplines or Internal Affairs complaints; (2) the officer's productivity; and (3) activities which faz surpass those expected of police officers in the line of duty. Although candidates who aze nominated for the Officer of the Year Awazd often aze recognized for an outstanding activity performed in that year, the officer's entire career is examined by the committee. While these criteria guided the committee's work in 1999, they have not been officially adopted by the Department and have not been distributed throughout the Department. The current Officer of the Yeaz Award has been in existence since 1997. Prior to the DepartmenYs awazd, the Ranking Officers Association presented a similar Officer of the Yeaz award from 19741997. None of the interview subjects were able to provide an explanation for why the Department now controls the award's process. There is a plaque in the DepartmenYs John O'Brien Hall of Honor recognizes the recipients who received the Ranking Officers Association award. Since the Department instituted its awazd, this practice has been 2 In ] 99$ these commanders included three execu[ive officers, the Intemal Affairs commander, and the senior duty officer. 3 Before the Saint Paul Police Department instituted its Officer of the Yeaz award, the Department and the Ranking Officers Association jointly sponsored the previous award in 1997. 17 discontinued. However, the Personnel Director states there have been discussions about getting a new plaque for recipients of the Departmental awazd. Police Commendation Program There aze seven types of recognition that can be awarded through the DepartmenYs Police Commendarion Program. Any police employee, swom or non-swom, is eligible for these awards. The seven commendations differenriate between various levels of exceptionat performance and allow for the aclmowledgment of outstanding work done by units, as well as individuais. These awards aze granted for specific actions and, unlike the Offioer of the Year awazd, do not consider the employee's cazeer as a relevant criterion. Criteria for these awazd aze listed in the Saint Paul Police Depar[ment's Operations and Procedural Manual. What follows is a list of the Commendarion Program's awazds, theu criteria and t6e benefits received by the honoree. ❑ Medal of Yalor. The criteria for this commendation states the award should be given "to a member who, conscious of danger, intelligendy and in the line of police duty, distinguishes himself by the performance of an act of gallantry and valor at �*nm;nent personal hazard to life, above and beyond the call of duty." This is the highest form of official recognition a Police employee may receive for a particulaz action or acrivity. The Medal of Valor was established in 1972. It is notable that the first awazd was not given unril 1985. Since that rime, a total of 31 Medals of Valor have been granted, 22 of which have been awarded during the tenure of the current police chief. Officers awarded the Medal of Valor receive a letter from the Chief, a certificate, a medal and a baz for their uniform. The Department holds a"Commanders' Table award ceremo�' to honor the employee. O Medal ofMerit. The criteria for this award states that it is to be "awarded to a member for a highly creditab�e, unusual potice accomplishment " Since the awazd was instituted in 1972, 85 police employees have received the Medal of Merit. During the tenure of the current Police Chief, 61 Medals of Merits have been awarded Members who receive the awazd are given a certificate, a medal and baz for the employee's uniform. The Department conducts an award ceremony for the recipient which takes place in the Chief's office. ❑ Medal of Commendation. This awazd's criteria states it be given to a member in "recognition of intelligent and excellent performance of self initiated police duties" and fhat recipients should be "exemplazs of self initiated police work." m v� -S�l° Recipients receive a baz for their uniform, a letter from the Chief and the awazd is presented at the work site. ❑ Letter of Recognition. This awazd is to be granted to a recipient for "urtelligent and excellent performance of regular duties." A letter of recognition is sent to the employee, a copy of the letter is placed in employee's personnei file and the another copy is sent to the immediate supervisor. ❑ Line of Duty Letter. If empioyees aze nominated for an awazd but their acrions do not meet any of the above criteria, they aze issued a line of duty letter. The letter states the actions taken by the nominee aze considered by the Department to represent the performance of regular duties. ❑ Unit Citation. This awazd recognizes the outstanding performance demonstrated by a work unit. The criteria states that it should be "awazded for exceprional performance of...duty, above and beyond what would be expected..: ' T'he citation is presented at ceremony at the work site to the uniYs commander in the presence of the entire unit. Unit members receive a bar for their uniforms and receive a letter &om the Chief. ❑ Unit Letter of Recognition. The criteria for this recognition states this award `Yecognizes the accomplishment of [a] unit that is noteworthy and commendable but not of such a stature as to merit a Unit Citation." Unit members receive a letter from the Chief. The recipients of these awards are determined by the Commendation Review Boazd (CRB). The CRB is to be made up of ten members who represent a cross-secrion of Departmentat personnel. The DepartmenYs Procedure and Operational Manual states the CRB should include one district supervisor, three patrol officers, two investigators, two civilian employees and a representarive from the Chief s Office. The chair of the committee is the Department's Personnel Officer who selects, with approval of the Chief, the committee members. Members serve staggered three-yeaz terms. There are ten alternates who fill in for those unable to attend meetings. Typically, new CRB members aze selected from the pool of alternates. Any police employee may be nominated by another employee for one of the Department's Commendation Program Awards. There is nothing that prohibits officers from nominating themselves; however, in practice this never takes place. A nomination form is available at all work sites. A written letter can also be used to nominate an employee for an awazd. Completed nominations are submitted to the Personnel Officer who compiles nominations monthly and distributes them to CRB members. A signi£cant number of employees, especially swom employees from a broad cross-secrion of the Deparhnent, participate in the nominating process. However, one problem with the process reported by interviewees is that supervisors aze inconsistent in their approach to nominating 19 employees for awazds. Some supervisors regularly nominate staff for awazds and others never do. As one interview subject suggested, employees could be doing the best police work in the City but the CRB will never lmow about it because their supervisors do not nominate them. It was also reported by severai CRB members that new officers aze very hesitant to nominate their colleagues. CRB conducts a monthly meeting at which each nomination is discussed. Packets which include the nomination forms and supporting information are sent out ahead of time. Members report that everyone reads the information and comes to the meetings well prepazed. Typically, the chair will present a summary of each nomination to the CRB after which a committee member will make a morion, which must be seconded, to grant an award to the nominee. Then a discussion, at times reported to be lively, will ensue regarding the merits of the morion. When the discussion concludes, a vote is taken. If the motion is passed then the recommendation is sent to the Chief's office for approval. If it is unsuccessful, t6e committee wi11 entertain other morions to grant either a higher or lower level of award. If the CRB feels the actions for wluch the candidate has been nominated do not meet the awazds' criteria, it wili recommend a Line of Duty Letter be sent. Committee members report they find it difficult, at times, to decide when some actions exceed regular actions taken in the line of duty. It was noted that this is a particular probiem in deciding when to grant awazds to civilian employees. Often, interview subjects reported, it is difficult to justify recommending the same lugh-level awards that police officers receive for placing their life in jeopazdy for employees who perform outstanding civilian work. There was also feeling that the criteria, wlule appropriate for sworn officers, did not provide guidance for judging civilian work. As a resuit, some suggested civilian work is less recognized by the CRB than work performed by police officers. One interview subject stated the CRB was considering a review of the methods used for recognizing outstanding civilian performance. Overall, the CRB's awazd criteria has not be revised since June of 1995. This is inspite of a 1996 update to the DeparhmenYs Strategic Plan which calls for the commendarion program to have criteria which reflect the values of Community Oriented Policing (COP). The awards criteria, according to the ptan, should place a new emphasis on "imaginative problem solving and neightwrhood involvement" and encourage "the more mundane aspects of police work, such as working out long-term solutions." No one interviewed from the CRB had heazd or read of this reference to the commendation program in the S�ategic PIan. One interviewee, however, stated the CRB does award employees for commimity policing efforts. 4 Saint Paul Police Department Strategic Plan, 1996 Update, page 6. 20 ne-s `7° Chief's Awards The ChieFs Awards are given to "an individuai or group of individuals by the Chief of Police in = recognition of exceptional actions or acriviries taken on behalf of the Department and/or the City of Saint Paul: ' Beside this general statement, criteria do not elcist for these awards. Nevertheless, they consist of the following three awazds that mirror the top commendations available in ffie CRB recognition process. ❑ Chiefs Award for Yalor. Recipient receives a red, white and biue ribbon, and a framed certificate. ❑ Chiefs Award for Merit. Recipient receives a yellow and white ribbon, and a framed certificate. 4 Chiefs Award. Recipient receives a white ribbon and a certificate. Instituted in 1995 by the current Police Chief, the Chief's Awazds provide a means for recognizing the contriburions of individuals from outside the Department. Those who have received past awards include community organizations, citizens, and ]aw enforcement officials from other jurisdictions. Department empioyees aze aiso eligible for a Chief's Award. Although awarded directly by the Chief, the CRB may make recommendarions for Cluef's Awards. Conclusions In teims of the number and types of awards, the Saint Paul Police Deparnnent appears to have one of the most well developed formal recognition processes in the City of Saint Paul. In many ways, this was expected given the strong role awards traditionally play in public safety organizations. The CRB awazds process is especially commendable given that it includes representation from tluoughout the Department. Furthermore, most of the awards which the CRB deals with have established, albeit limited, criteria. The criteria aze easily available to staff through the DepartmenYs Procedure and Operational Manual. The Department should also be credited with instituring the ChiePs Awards program whose primary purpose is to recognize those outside of the Deparhnent. Moreover, as interview subjects indicated, deparhnentai awards aze generally well-sought after and recipients aze held in high-esteem by their peers. Based on the expansion of the awazds program to include the ChiePs Awards and the increase in the number of award recipients, namely the greater number of Medals of Valor and Medais of Merit granted, it is cleaz the current Police Chief places a high value on formal recognirion and recognizes its role in improving the quality of an organization. However, this seemingly new philosophy regarding formal recogrtitions, especially the increase in the number of recipients, 21 does not appeaz to have been adequately communicated to staff. With the exception of the 1996 update to the Strategic Plan and the revision of the Commendation Review Board section of the Procedure and Operational Manual, we did not find any pro-active communicarion to staff that senior management had change its approach to the awazds process. However, based on the greater number of recipients, it would be hard for staff to ignore that a change had taken place. This might explain some of the negative responses about Department awards process found in the Gantz-Wiley survey. Some employees may still be operating under out-dated assumptions about the awards process. It is cleaz &om the interviews and the documents reviewed that the goal to integrate the values of Community Oriented Policing, found in the 1996 Strategic Plan Update, has never been fuily implemented However, there are reports that the CRB places a higher value on COP activides when it makes its decisions. Criven there is no evidence that this aspect of the Strategic Plan has been communicated to most members of the CRB or to Department staff, as a whole, this may have lead to a disconnect between the senior leaders' understanding of the awards process and the expectarions of employees. The awards process suffers &om a number of other problems. Established criteria do not exist for the Officer of the Yeaz award Nor do they elcist individually for the ttuee Clriefls awazds, although there is a general statement of purpose for the awazds in the Procedure and Operatiorxs Manual. Tlus statement does not appear to provide adequate guidance to those seeking to differentiate between the three awards. Moreover, the criteria for the DepartmenYs other awards often makes it difficult for the CRB to recognize outstanding work done by civilians. Participation by supervisors is inconsistent in the nominaring process and many new recnrits do not participate at aiL Finally, it should be noted that some stakeholders, such as community organizarions and block ciubs, have no role in the awazds process. Recommendations Recommendation #l. The Police Department should review and update its existing criteria for awards on a regular basis. At the moment, attention should especially be paid to clarifying the CRB criteria to lessen some of the confusion ezpressed by board members about when to uward certain recognitiorrs. The Department should corrsider building on existing criteria. In cases where established criteria does not exist, such ar the Officer of the Year and the Chief's Elwards, it should �ie developed. A wide cross-section of staff should be involved in this process. Furthermore, an effort should be made to identify ways the criteria can better recognize autstanding work perjormed by civilian employees. If this cannot be done within the existing awards structure, then the Department should corrsider developing new awards for civilian employees. Revision of the awards criteria should implement the objective stated in the 1996 Strategic Plan Update to have departmental awards reflect the values of Community Oriented Policing. 22 Z3� -S�`� Recommendation #3: The Department shoutd consider the development of a rncognition program that operates at the unit or divisional level. This may be of particular benefit to civilian employees who feel the current recognition sysfem does not recognize outstanding work they do. In addition, a recognition process which operates on a divisional or unit level may be more flexible and more easily able to recognize, as the 1996 Strategic Plan Update states, some ofthe "more murrdane aspects ofpolice worlc " Recommendation #4: The Depar[ment should obtain a new plaque to be placed in the John O Brien Hall of Honor which recognizes the recipients of the Department's �cer of the Year award. Recommendation #5: The senior leaders in the Police Department should attempt to increase the participation of supervisors in the awards process. This could be done through outreach or tying such participation to the supervisors' performance evaluations. Recommendation #6: The Department should consider methods for outside stakeholders, such as community organizations and block clubs, to participate in the recognition process. The Deparnnent should corrsider instituting a new award which would provide citizeru and community groups with the opportuniry to recognize excellent work done by the Department's employees. Citizens would nominate employees for the award and serve jointly with Police Department employees on a selection committee. The Chief, as with all other departmental awards, would make the final selection. SENIOR MANAGEMENT - VISION AND PLANNING A primary problem area identified in the Gantz-Wiley survey is managemenYs ability to provide a cleaz picture of the future to employees. To effectively lead an organization into the future, senior leaders must give employees a vision that makes it clear where the organization is heading. Senior managers also need to provide and facilitate a planning process which cleazly develops strategic goals for both the organizarion, as a whole, and specific projects. Oniy 20 percent of respondents to the Gantz-Wiley Survey gave favorable answers to questions regarding senior managemenYs ability to give employees a cleaz picture of the future. There were also several responses in the survey's written comments section which stated senior management made inadequate or poor plans to address future challenges. These issues raised by respondents included the high number of vacancies created by recent rerirements and the conversion to a computerized report management system. To determine the effectiveness of the senior managemenYs vision and planning activiries, we examined the level of development of these organizarionai processes. To do this we conducted interviews with senior managers to identify plans and statements of vision. We also examined 23 the processes in place to develop, communicate, implement and update the vision and plans of the organization. Finally, we reviewed written documents which pertained to the DepartmenYs policies and practices for developing, communicating and updating the organizarional vision and plans. The analysis done in tlus part of the sLudy is simitar to that used in the prior Staff Recognition section. We compaze the data collected witfi the processes used in highly effective organizations. Where deficiencies iu these pmcesses and activities aze 4dentified, we matce recommendations to correct or reduce probTems. In this section, vision and planning aze addressed separately. Recommendations aze included at the end of each sub-section. Vision in a High Organization Senior leaders in high performing organizarions set direction, establish and articulate a clear vision and communicate and make visible the values of the organization. The vision should specifically incorporate the organization's mission, values, goals, strategies and performance expectations. The vision should be widely and regularly articulated to staff. It should be reviewed periodically and revised to adjust for changes in the organization's environment. Findings The current Police Chief developed a written vision for the Department in March of 1998. The vision begins by describing an image of what the public safety environruent in the City of Saint Paul should be in the 21�` Century. It then details the areas on which the Department must focus in order for the vision to become a reality. It incorporates objectives for training, technotogy use and community parhierships. The statement also integrates the DepaztmenYs mission, its past successes, and its core values.s In terms of content, it is an excetlent organizational vision and includes all the elements one looks for in a vision statement. However, an excellent written statement is only a part of what is needed for senior leaders to set organizallonai vision and direction. The senior leaders must also ensure the statement is weIl- known to all staff, reviewed regulazly for improvement and reinforced through the operarions of the Department. Without attention to these steps, even the best vision statement will be ineffecrive. 5 A copy of the SPPD Vision statement can be foued in the appendix 24 �o�s?a The vision statement was created by a senior management team 6 It was first communicated ihrough memos which were followed up over the next twelve months by in-service training for ail senior command staff and sergeants. The training was conducted by the Departrnent's Public Information Officer and a private consultant In addition, all new recruits received a presentation from the Chief regarding his vision for the fuhse and the Department's core values. The statement is also inciuded in their training manuals. Those interviewed report the vision is reinforced throughout the organization through individual performance evaluations, the commendation system and through personai leadership demonstrated by the Chief. The vision for the organization shouid also serve as a basis for strategic planning and be integrated into subsequent updates or acrion plans. However, as will be detailed in the Planning section below, the ChiePs vision statement did not exist when the DepartmenYs Strategic Plan was developed or when it was updated in 1996. Senior leaders in interviews also pointed to the development of their mission statement as an example of the DeparhnenYs vision activities. While this effort is vitally important for creating an effective organization, we do not consider mission to be analogous to vision. The organizational mission is different from vision in that "a mission outlines an organizational purpose while vision goes on to describe how the organization should look if it is working extremely well in relation to its environment and its key stakeholders."' Therefore, in this anatysis we only considered the organizational mission to the extent it is included in the vision statement. Conclusions The DepartmenYs dision statement is exceilent and represents a model for other City departments. The statement has been communicated to staff through memos and supervisors have received in-service training on its specifics. Training of other staff on the vision was left to supervisors who attended the in-service training. One explanation of why some staff expressed such negative responses regazding the organizafion's direction may be that many do not have the same level of understanding of the Department's vision as their superiors because they have not receive the same training. Recommendations Recommendation #7: Training on the Department's vision statement should be provided to all 6 This team included the Chief, Deputy Chiefs, District Commanders, the Public Information Officer, [he Directoz of Research and Development, D'uec[or of Iatemal Affairs, and two civilian supervisors. 7 Btyson, Iohn. Strategic Planning for Public and Non-Proftt Organiations. Jossey-Bass, 1995 page I55. 25 siaff who have not received it. This e, fJ`�ort should focus on front-line offcers and civilian supervisors and employees. Recommendation #8: Objectives outlirred in the vision statement should be explicitly incorporated into the Department's performance evaluatiorrs. Employees should be judged on how well they corrtribute to the achievemenY of the goals which are outlined in the vision statement, such as increased training increased technology use and building effective parfnerships. Recommendation #9: The vision statement should be reviewed prior to the next update of the Deparhnent's Strategic Plan. The vision statement should serve as a basis for the next Strategic Plan update. Planning in a High Performing Organizahon Planning is an activity that incorporates a strong future orientation and a willingness to make long-term commitments to stakeholders. High-performing organizations actively engage in ptanning and recognize the impact not only of intemal changes, but also of environmental factors on the organizarion. Planning considers resource allocation, economic projecEions, future needs of employees, future customer needs and eacpectations, technological developments, and stakeholder requirements. Plans can be long- or short-term, and can be issue specific, organizarion-wide or unit-wide. In order to be effective, plans need to be carried out and updated &equently. Findings The Saint Paul Police Department has developed long-term strategic plans and short-term, issue specific plans, also Imow as acrion plans. While strategic planning has not occurred in the last four years, the Department continues to make use of action plans for specific issues. The Department's pianning efforts are detailed below. Strategic Planning Soon after his appointment in 1992, the current Police Chief initiated a comprehensive plaaning process to develop a Strategic Plan which would institute the plrilosophy of Community Oriented Policing (COP). This plan would guide a11 future depaztmentat activities. COP, according to the Department, is "full service personalized policing where the same officer patrols and works in the same area on a permanent basis, from a decentralized place and interacts � �p�5�to in a pro active parinership with citizens to identify and solve problems."g Although the Department throughout the 1980s had a number of community policing initiarives, COP had not, as this pian set out to do, been institutionalized as the primary philosophy of the Department. Because implementation of COP requires changes at all levels of police work, shifts in stakeholder attitudes and behavior, and involves extemal, as weli as intemai, considerations, undertaking a strategic plan is a most appropriate vehicle for establishing the values and goals of COP. The plan was originally drafted in 1993 by a management team that inciuded the Chief, Deputy Chiefs, District Commanders and the Director of Research and Development. The Chief called together 50 managers for a two day retreat to gather their thoughts on COP. The plan was also shazed with block clubs and other community organizarions to get their feedback. The management team then incorporated the comments into the final version of the plan. It should be noted the team did not solicit the input of front-line officers, civilian employees, and representatives of other City departments. Participation by other City departments would have been particularly valuable because one of the tenets of COP is that coaununity policing is a City- wide responsibility, not just limited to the Police Department. For COP to be successful, the Police Depariment must build relationships with other departments to receive their assistance in improving public safety. Having other key City Departments, such as the City Attorney's Office and the Parks and Recreation Division, participate in the strategic planning process would improve its chances for success. Nevertheless, the Strategic Plan which resulted from this process is comprehensive and includes many attributes one expects in an effecfive pian. The plan is organized azound four quesrions: "Where is the SPPD now? Where does it want to go? How will it get there? How is SPPD doing?" The plan incorporates the DepartmenYs mission statement which was written prior to the planning process. It considers future employee requirements, cirizen and stakeholder expectarions, community partnerships, and technological and capital needs. T4ie plan was updated in 1996 by the same management team that authored the original plan. As part of the update, the Cluef and an outside consultant conducted two sessions on two sepazate days with Deparhnent managers. The feedback provided by the managers was used to revise the plan. The update left most of the original plan intact and added a five year capital improvements plan. The updated plan was communicated to sworn officers at roll calls and to civilian employees through their supervisors. While the Strategic Plan includes a section about evaluating its implementarion, it states that no model is available to undertake a formal evaluation of COP. Instead of a formal evaluarion, the Depamnent has attempted to measure COP's success through a series of annual, subjecrive $ Cowles, Catherine. The Dwelopment of Communiry Policing in Sainr Paut, Minnesata. Cambridge, Mq: John F. Kennedy School of Govemment, Harvazd University, p. 37. 27 assessments. Assessments of the 1993 Strategic Plan goais aze inciuded in the appendix of the 1996 update. In our interviews, senior management reported that these assessmeats have not continued since the 1996 update. However, the Department has worked with Hamline University Graduate School to develop an evaluarion model that will be applied to one aspect of the SYrategic Plan, the Neighborhood Service Area program. The evaluations have been completed but the results will not be released unrii the summer of 2000. In our interviews, the lack of evalvation of COP did not appeaz to be a concern for management team members. One stated tfiat Police Officers meet regularly with block clubs and that the community keeps the Department awaze of how well it's doing with COP. Therefore, there really is not any need to do formal evaluations. Moreover, it was mentioned that very little money is allocated within the Department for serious evaluation activities. Since 1996 there has been no effort to update the Strategic Plan. One member of the management team reported there is no need to change the plan because "it's a good one." Furthermore, this senior leader also stated the Department is more concemed about the daily operations of the Department and `Ssn't thinking in a strategic mode" at the moment. Adion Plans The Police Department creates numerous issue-specific plans, or action plans, to address both intemal and extemal issues. Many of these plans aze developed because of needs idenrified by the Department, but others are developed because of direcrives from the Mayor and City Counci2.' Identified below are the significaat acrion plans identified by senior leaders that have been developed since 1992. ❑ Y2K Preparedness Plan ❑ Neighborhood Service Area Plan ❑ Information Services Plan for Transition to Paperless Office ❑ A Community Outreach Program (ACOP) Plan ❑ Plan for the Consolidation of Police and Fire Emergency Communications Center ❑ Bio-hazazd Prepazedness Plan After a planning issue is identified, the Police Chief appoints a chair and responsible staff to 9 An e�cample of action plan instigated by the Mayor and City Council would be t6e plan to consolidate the Police and Fire Emergrncy Communication Centers. � . , � aa �S� ° serve on a planning committee. Committees will often include sworn and civilian employees, other City staff from outside the Department, law enforcement representatives from other jurisdictions, and citizens. When compieted, action plans are communicated to affected staff through memos. The pians aze upciated on an as needed basis. Some acrion plans that involve efforts wlrich are funded by grants, such as ACOP, aze required to have evaluations by the funding organizarions. Otherwise, the Department does not evaluate the success of action plans. In the words of one member of the Administrarive Team, "If the plan is carried out and the right outcome is achieved then it is considered a success." The primary measwement for success in the Police Department was reported to be whether crime rates aze decreasing in the City and whether the Deparkment is receiving complaints from the public. Budget Activity Performance Plans Each yeaz for the annual City Budget, departments aze required to submit an Activity Performance Plan. In effort to update their acrivity plans to reflect their current Strategic Plan, the Police Department attempted to revise all of its acrivity performance measures. This was a Department-wide effort which took over six weeks and involved 25 employees. After submitting its 2000 Budget with the revised performance measures, the Office of Financial Services told the Department that it did not have the staff or the resources to review the new measures. 1'herefore, they were not included in the 2000 Budget and the previous year's performance measures were used instead. Conclusions The Police Department has undertaken some admirable planning efforts. Especially commendable are its efforts to revise the budget performance measures. However, the Strategic Plan has not been updated in four years and there aze no plans cunently to do so. It would be a serious waste of previous effort to allow this very good plan to become obsolete. Despite the suggestion to the contrary by some senior leaders, all organizations should always think and pian strategically. This is especially true for organizations which operate in the field of public safety. Evaluation of the implementation and results of pians is a particulazly weak aspect of the Department's efforts. With the exception of the effort by Hamline University to assess the effectiveness of Neighborhood Service Areas, the Department has done little to evaluate the effectiveness of its Strategic Plan. The subjective assessments of COP, proposed in the 1996 Strategic Plan, have been discontinued While the Department claims no formal method exists for the overail assessment of COP, it has the ability to evaluate certain aspects of the COP pian with tools such as citizen or employee surveys. This is currently not being done. Moreover, the Department appears to collect only small amounts of data on the effectiveness of any of the Department's plans at anything lower than the patrol district level. This is a major impediment to determining whether community policing is succeeding at the neighborhood level. 29 Recommendations Recommendation 10: The Department should undertake an e„�'ort to revise their current Strategic Plan. This e, fJ`'ort should include senior leaders, supervisors, rank-and file employees, representatives from other relwant City deparhnents and community stakeholders. The update should incorporate new methods for evaluating the success ofCOP. The revised plan should be communicated to staff and integrated ar a central element in the police academy training program. Recominendationll: The Department should continue it's effort to revise its budget performance plan measures and resubmit new measures for inclusion in the 2001 budget. Recommendation 12: The OJfice of Financial Services should work closely with the Police Deparhnent, and a71 other deparhnents interested in revising their budget performance measures, to ensure that new measures can be included in next year's budget. This assistance should assure that City deparhnents are able to maintain and improve the budget performance measures. EMPLOYEE INVOLVEMENT How senior leaders involve employees in decision-making, solicit employee opinions, encourage employees to be innovative and use good employee ideas were azeas of serious concern for Gantz-Wiley respondents. These issues, grouped under the theme of employee involvement, received the most unfavorable responses of any category in the survey. Oniy nineteen percent of all respondents gave a favorable response when asked if the Deparnnent encouraged employees to participate in decisions which affected their work. 7ust 15 percent of survey participants answered favorably about whether senior leaders made a sufficient effort to $et the opinions of people in the Department. With the exception of the police administration employees, Downtown patrol officers and the FORCE unit members, no work group in the Department had more than 20 percent of respondents answer favorably to the questions in this theme. Research Methods To exaznine the effecriveness of senior management's ability to encourage empioyee involvement, we examined the level of development of organizarional processes. To do this we conducted interviews with senior managers to identify mechanisms and practices that involve employees in decisions made about the Department. We aiso examined any documents which pertained to cuirent and past practices to involve empIoyees. The analysis done in this part of the study is similaz to that used in the Staff Recognition and 30 . ,. f30 —S`jb Senior Management-Vision and Planning sec6ons. We compared the data coilected with the processes used in higlily effective organizations. Where deficiencies in these processes and activities aze identified, we make recommendations to correct or reduce problems. These recommendarions aze included at the end of this section. Em�loyee Involvement in High-performing Organizations A primary characteristic of high performing organizarion is that senior leaders encourage employee involvement in decisions made about the organizarion's operarions. Employee involvement also assists senior leaders in idenrifying work pracrices which aze tailored to employees with diverse work place and home life needs. In addition, employees and supervisors must also be involved in the development, design and evaluation of education and training opportunities. These individuals are best able to idenrify critical needs and evaluate success. In general, employee invoivement in area of human resources should improve employee knowledge, crearivity and morivation. Findin�s Senior leaders reported that, as a paza-military arganization, the primary mechanism for employee involvement in the Police Department was communication through the chain of command. Typically, front-line employees express their ideas or concerns to their immediate supervisors, who in turn relay them to command level staff. Commanders then share this informarion with the senior leaders at regular meetings of the Administrative Team. Other mechanisms, however, do exist to solicit employee feedback and involvement. These efforts are detailed below. Chiej's Open-door Meetings Once a week the Chief conducts "open-door" meetings with any staff inembers interested in meeting with him. The meetings take piace at a predetermined rime and the Chief is usually available for up to an hour and half. Because no one is twned away, the sessions sometimes take two or three hours if lazge number of people show up or if individual meetings take a particulazly long period of time. Interview respondents reported that these sessions are weil urilized by staff. Wednesday Commander Meetings Each Wednesday the Chief ineets with the Depamnent's Commanders and other senior staff. It 31 , .. is at these meetings that Commanders provide the Ciuef with employee feedback fhat has come up through the chain of command. In addition, any employee, regardless of rank, may make a presentation at this mee6ng about a new innovation or idea for the Department. The motorcycles unit, bike and horse patrol were atl ideas which were created as a result of front-line staffpresentations at the weekly Commanders' Meeting. Survey af Employee Training and Development Needs The Department surveys stafF'each year to determine iraining needs. Unit supervisors col[ect training requests from &ont-line staff and the senior management teaxn prioritizes them. The Chief reviews the priorities and decides, based on tfie year's budget, wluch opportunities wiIl be offered. Although, this has been a regular practice during the current Chief's tenure, there have been several yeazs wfien it was not done because tfie Department lacked funds to provide a wide azray of training opportuniries. Other Employee Involvement fictivities The Chief soliciYs the opinions of Commanders and supervisors before maldng employee assignments to their units. The Chief ineets montlily with the Police Federation at the stewazds meeting to discuss labor-management issues. Finally, the Department occasionaily contracts with the Office of Human Resources or outside private consultants to do management studies. These studies are undertaken primarily in reaction to probiems that have been idenrified by Department leaders. Conclusions When compared to other high-performing organizarions, the Potice DepartmenYs processes for empioyee involvement aze less than adequate. While the Department provides access to senior leaders through the Chiefs open-door meetings and the Commanders' meetings, very few of theu activities pro-actively solicit employee opinions or innovations. There is a significant difference between providing staff with access to seaior leaders aad creating a culture in which employees feel encouraged to share opinions and ideas for impmvements. The DepartmenYs use of consultartts to assess employee attitudes typically is not pro-active. Notable exceptions to this reactionary approach are the Chief's participation in the steward's meetings and the DepartmenYs effort to survey staff training needs. These are excellent practices. �� It should be noted that in an interview Council Research was informed of at least one instance where this was not done. 32 � � �� J (� Recommendarions Recommendation 13: The DepaHment should pursue the development of a pro-active system to -- assess employee well-being, and identify. employee innovations and concerns. In developing this system, senior leaders should seek the input of a large cross-section of employees and the representatives of the Department's bargaining units. A component of this ef� j'ort could include a periodic employee survey. 33 Appendix Interview Protocol for SPPD Senior Management regarding Employee Involvement, Planning, Vision, and Recogaition Issaes Revised 3-29-00 Employee Invoivement How do senior leaders in Police Department use employee feedback to improve their management of the Deparhnent? Z. How does the Police Deparkment use input from atl employees on education and training needs? How do senior leaders determine employee well-being and satisfaction? What methods are used? Planning 1_ What kinds of plans does the Police Department produce? 2. What is your strategic planning process? What aze the key steps in the process and who aze the key participants? 3. How does the Police Department consider the following key factors in its strategic planning process? How is information on these factors gathered? a. Cirizen needs and expectations b. Human resource capabilities c. Availability of other resources 4. How is the Police DepartmenYs strategic plan communicated to staff and implemented? 5. How often is the strategic plan reviewed and updated? How are updates done? 6. Do action plans (plans for specific tasks) exist? If so, what action plans have been made ? 7. How aze action plans developed? 8. Who is involved in the development of action plans? c � �� �J � 9. How often aze action plans updated? 10. What are the key performance measures or indicators used for tracking the resuits of the plans? How is monitoring of the plans done? Are there any other efforts to evaluate whether plans have been successful? Vision 1. How do senior leaders communicate and deploy organizarional values in the Police Department? 2. How do senior leaders set direction and seek future opportunities for the Police Department? Recognition Process l. What formal employee awards exist in the Police Department? 2. How is the formal awards process tailored to the needs of different categories and types of employees? 3. What is the process for submitting an employee's name for an award? 4. What is the process for determining who receives each award? What are the key steps in the process? 5. Who are the key participants? 6. Does criteria exist for each awazd? (If so, could I get copies of the criteria?) How are Police Department staff informed about the awards process and awazd criteria? 8. What benefits are associated with formal recognition besides the award itseif, such as cash (merit pay), vacation time, etc? 9. How does the awards process reinforce employee well-being, satisfaction and iugh performance in the arganization? �� . � ' � � C u 3 �iG�4p T&E S14INT PAITL POLICE DEPA1tTMENT A VISIONFOR TSE ZI'T CENI'URY It s 9:30 on a Wednesday night, and a Zone visitor is leaving the RiverCentre after a 12-hoza day at a trade show. As she walks to her doxmtown 3zotel, she looks into coffee shops fzlled with animated customers, and nearing: Wabasha and 5�; she nodr to the mounted police officer about to end his sh� Flalf an hozv later, this same businesswoman is on the street again, this time for a quick run by the river...it's her reward at the end ofa successful day. fllthaugh alert and aware, this visitor to Saint Paul is not a, fraid to venture into the evening. Even in her native country — Iza1f way around the globe — she 's heard that the streeis ofSaint Paul are some of the safest in the natior for arry woman, man or child. ?'his picture of Saint Paul in the 21n ceatury is one of economic vitality, friendliness and safety. The Saiat Paai Potice Departrnent ptays a critical role in creating this snapshot of a city that attracts — and retains —heaithy families, successfuI businesses, invested workers and interesting individ�. I envision a police department that continues to capitalize on its strengths, and evolves to meet the ��g �mands of a very dynamic city. Our officers will continue to protect the peace and enfiaace pubIic safeiy in every comer of the city using an ever-increysing rnnge of capabilities and technologies. Training for officers will prepaze them for �Y oPPa�ties to: • restore catm to emotionally-chaz�ed and dangerous situarions; • communicate regulaziy with businesses and with increasingly divezse citizens to get ahead ofproblems; • detect and remove the drugs and guns criminals attempt to bring into the metro azea; • deliver the right message to aud develop relarionsbips with school-age chifdren; and • direct tourists who aze unfamiliar with our s�eeis and values. Each squad caz wiii be equipped with tfie on-board electronics necessary to acceIerate investigations and aaests on the stree� Officers will easily check criminal tristory, match fin�erprints, and write reports &om their cars. Advanced comguter and communication technology will ailow information to be quickiy shared across the depamaent aBd with other a;encies. Our partnerships with citizens, businesses and service a�encies of this city wiil deepen because of our comtnitrnent to be reIIective of and responsive to the city we serve. The diversity on the force — in gender, race, and culture — wili become o eater. we will pursue coUaborations amon� the private and pubtic sectors even more ag�essively. We e:cpect to work across jurisdictions to meeL common �oals. The fomiation of the State Gan� Shike Force is a W � Y �b-S 7 � current example. Additionally, severai projects now bring ihe Saint Patil Police Departrnent togettier with schools, universities, youth organizations, block clubs, state-wide criaie task forces and private basiness. The DepartmeIIt will work to facilitate these collaboraIIVe effarts becaiise they allow us couple the abuadant talents of our officezs and citizens with scarce resources to achieve lon� term resuIts. 2�e Saint Paui Police Department continues to enjoy a positive reputation in the state, and across the coun�y because in the last s�c ye� we focused on training civiiian and swom staff,• investino in t�oioBY� and strengthenin, our parmerships with communities. We are respected for the work pezformed on the s�eet, as well as for the supporave culture fostered wittun the depamneni. There aze azeas which we can improve and we have the wi11 and commitment to do so. I believe the Saint Paul Police Departrnent will serve this city weil3n the next cenhuy because our past and current efforts aze grounded upon strongly held principies: ' We adhere to strong core values of inte2ritc�, compassion, and :especi as we work together toward a common vision oi safe communi�ies: • We aze eood stewazds ef ihe city's resources; taxpayer dollars and funding from �ants aze invested in u�ainin� our ofFicers to be creative and probtem-solving and in furcher developin� technolo�y; • We al�vays look for opportunities to facilitate murizl(y -e^.. =,.:� -;. with other city departments, law enforcement ageacies, and ;he com, • We w thoe�h*,�lly and evaluate ourselves to make sure our work increases public safer✓ w;,iie decreasing cr:minal activity. I envision Saint Paut in the 21n century as a vibrant city attracfive to resident and visitor alike-- a city in which our officers and other public employees aze proud to work and reside. Our core values aze sound and wiI1 carry us into the new century. With the firm support of our city governmeni and citizens, we will enihusiastically do our part to make this vision real. The departrnent exists to professionaIly and energeticalIy serve the community without reaazd to a Person's gender, race, culture or address. We aze and will continue to be the police department of the peopie. The Saint Pauf Police Deparfinent A Vision for t/re 21�` Cer:tury CliiejWilliam K. Finney 10 �Ylardt 7993 Council File # � RESOLUTION GreenSheet# 1�s3`j`j �' �CI�TY OF SAINT PAUL, MINNESOTA J9 / Presented Referred To Cownuttee Date RESOLUTION ACCEPTING Tf� REPORT ENTITLED "A STUDY OF POLICE EMPLOYEE SURVEY ISSUES, PHASE II: DEPARTMENTAL ISSUES" 1 WHEREAS, the Saint Paul City Council commissioned a study of management practices in the Saint Paul 2 Police Department and the City Council directed the Council Investigation and Reseazch Center to conduct this 3 study; and 4 WHEREAS, the Council Investigation and Research CenYer has completed phase II of this study; now therefore, 5 be it RESOLVED, that the Saint Paul City Council accepts the report entitled, A Study of PoZice Employee Survey Issues, Phase II: DepaMmental Issues. Requested by Departrnent of: � Form Approved by City Attomey � by Mayor for Submission to Council SY: �� � s I-� n--�..-r�� BY� ApprovedbyMayor: Date �dfl,� Z-'7'Zi�a By: c��'�c � Adopted by CouncIl: Date Adoption Certified by CouncIl Secretary D'e s"�d Council Councilmember Jim Reiter GREEN SHEET No 1 O 3�; 7 0 �,��� 6-7-00 oa�rc.a�a. 6-14-�� � �� rn.�noeEr anamc xauie�c aloet ❑ �on�mfiCFSU� wuxwta ❑ wvoRt�.assuxn ❑ TOTAL # OF SIGNATURE PAGES (CLIP AlL LOCATIONS FOR SIGNATUR� Accept the report "A Study of Police Employee Survey Issues, Phase II: Departmental Issues." iun� iun s�pprove �A� w ece�eu PLANNING COMMISSION CIB COMMRTEE CML SERVICE COMMISSION I�:L� IF AMOUN7 OF TRANSACTION f Has thie P�um e.erwa'ked under a ari6act for tlis tlepaAmenl? YES NO Fles m"m Pe!eo�Jfi�m ewr been a dlY emWuYee4 YES NO Dces mis percoMim a� a s�a� na normalNa� br any aaren[ cay empwyeev YES NO Istlus pewaKnm a tafge[ed �MOYt YES NO COSTRlEVENUE BUIXiETED (CIRCLE ON� ACTIVT' NtAABER YES NO (a�� _'.�� � pb -5`!b CITY CC)UNCIL RESEARCH REPORT A Study of Police Employee Survey Issues Phase II: Depa�tmental Issues ��� ti w O �� ��� 185� �� � `�► � �� h�� Saint Paul City Council Council Investigation and Research Center Saint Paul, Minnesota GITY � `` �. � �D�S� Saint Paul City Council City Counci! Investigation 8� Research Center Saint Paul, Minnesota 55102 (651) 266-8560 www.ci.saint-paul.mn.us/counciUcirc/ A Study of Police Employee Survey Issues Phase N: Departmental lssues June 2000 Director Gerry Strathman Poiicy Analyst David Godfrey Questions? If you have questions regarding this report please contact Gerry Strathman at (651) 266-8575 or gerry.strathman@ci.stpaul. mn.us � _� INTRODUCTION The Saint Paul City Council, as the goveming body for the City of Saint Paul, is responsible for hearing and investigating complaints about City operations. In recent yeazs, Councilmembers have received complaints from some Police Department employees abouY the management of that department. Ia response to these complaints, the City Couacil direcYed Council Research to commission a survey of Police employees. The Councii Research Director setected Gantz-Wiley Reseazch based on their demonstrated expertise and their ability to compare the survey results from the Saint Paul Police Depamnent employees with a national reference group. Gantz-Wiley Reseazch is a private company headquartered in Minneapolis specializing in employee and customer survey reseazch. The corporate mission for Gantz-Wiley Research is to contribute to their clients' success by helping them better understand and act on the view of their employees and customers. Gantz-Wiley Research completed the confidential survey of Police Department employees in the Spring of 1999. They received responses from 433 of 748 employees surveyed. This response rate of 58 percent is considered excellent for a mail survey. Gantz-Wi1ey Reseazch conducted and reported an anatysis of the survey data. Council Reseazch conducted additional anatysis of the survey data. These analyses identified several suengths within the Police Department. Job satisfacrion and immediate supervisors were highly rated and exceeded expectations based on the national WorkTrends data. There were, however, other areas where the Police employees' responses were less favorable. We grouped these azeas into three categories. These categories and the areasincluded in each are: ❑ Services to rhe Public • Risk to the public • Police officer safety • Adequacy of police resources ❑ Deparlmentallssues • Promorions • Employee recognition • Senior management • Management of the emergency communication center • Employee involvement 6a .sna ❑ Other Issues • Alleged use of traffic quotas • Qualificarions of police recruits � � In the Summer of 1999, the City Council directed Council Research to futther investigate the "Services to the Public" issues. We conducted this study and reported the resuits to the City Council in the report ri8ed "A Study of Police Employee Survey Issues, Phase I: Services to the Public" in November 1999. This study found that: ❑ Based on the Police DepattmenYs "total response time" for priority two and three calls, there is no evidence to support the assertion that the public is at a greater risk than in prior years; and ❑ Based on the officer assault data, there is no evidence to indicate officers face a greater physical risk than in prior years; and ❑ Based on interviews conducted with the Palice DepartmenYs senior officers, there is no evidence to support the assertion that the Deparnnent lacks adequate resources to meet its public safety responsibilities. Upon receipt and consideration of the "Phase I: Service to the Public Report," the City Council directed Council Research to conduct an addirional study of the "Depamnental Issues" identified from the Police employee survey. To that end, Council Research prepared a research design for Yhis study that the City Council approved in January 2000. The City Council approved some modifications of the initial design in February based on recommendations for amendments &om Council Research. Purpose of this Re�ort This report presents Council Reseazch fmdings and analysis regarding each of the "Departmental Issues" identified from the Police employee survey data. We then examine conclusions based on these findings and analysis to determine if the Police Department is being managed in conformance with City policies and good management practices. Should our conclusions suggest the Potice Department is not following City policies, then we will recommend changes in either City policies or Police Deparpnent practices to aclueve alignment. If the Police Department is found to not to always follow the best management practices, we wiil make recommendations for improvements. EMERGENCY COMMUNICATIONS CENTER The City of Saint Paui's Emergency Communicafions Centers (ECC) have long been troubled arganizarions. They have been almost conrinually distressed since their creation two decades ago with the advent ofthe universal "911" emergency service system. At that time, the City 2 � S�� hired a consultant to assist with system design and recommend how emergency communications systems should be organized. The consultant recommended a single emergency communications center for both Police and Fire, staffed with civilians and managed by the Police Department. The City ignored this recommendarion for almost twenty yeazs unril finally implementing the plan last year. Ttris twenty-yeaz delay in adopting the consultanYs recommendation stands as testimony to the power of personalities and politics to obstruct the implementation of professional recommendations. The fact they have provided quality emergency communicarions services during these twenty years of tutmoil stands as a testimony to the ability of dedicated employees to provide good public service despite poor political and management decisions. Given this history, it is not surprising the emp]oyees of the Police Emergency Communications Center provided profoundly negative responses, when surveyed by Gantz-Wiley Research last year, to a11 but one category of the survey questions. The only exceprions to this general negativity were questions about "7ob Satisfaction." In this single category, ECC employee responses were among the highest in the department It appears, despite general dissatisfaction with their work situation, most ECC employees like the kind of work they do and derive personai sarisfaction from providing public service. This finding is particularly importani because it shows ECC respondents were thoughtfu] iw their responses and did not just respond negatively to every question in the survey. Gantz-Wiley Reseazch used twelve categories to summarize the results of the Police employee survey. The respondents from the ECC gave the lowest level of favorable ratings to eleven of these twelve themes. Some themes, such as Customer Service, Performance Feedback, Work Effectiveness, Qualiry, Senior Management and the Departrnent Overall showed the percentage of favorable responses to be 10 to 20 percentage points lower than the Police Deparhnent as a whole. In other themes, such as Immediate Supervisor, Training, Working Conditions and Career Development the percentage of favorable responses was 20 to 30 percentage points lower than the Police Department as-a-whole. Not only were these favorable ratings far lower thaa the Department as-a-whole, they were in some cases remarkably low. For example, only 16 percent responded favorably to questions about "Training," and only 14 percent responded favorably to questions about "Working Conditions." Astonishingly, only 4 percent responded favorably to quesrions about "Employee Tnvolvement " These responses aze not only very low when compared with the Police Department as-a-whole, but they aze even worse, in most cases, when compared with WorkTrends� data from government employees nationally. For example, the responses of ECC employees reflected a 49 percentage points lower rate of favorable response to questions about "Working Conditions" and a 35 percentage points lower rate of favorable response to questions about "Employee Involvement " There can be little doubt, based on these responses to the Gantz-Wiley employee survey, there were serious problems within the ECC. f�] Since the Survev As we seek to interpret the results &om the Gantz-Wiley survey, understanding the situation in the ECC at the time Gantz-Wiley conducted Uus survey is important. Of all the many low points for the ECC during the past 20 years, the Spring of 1999 may haue been the lowest. Almost everything was in flux within the ECC at this time. Planning was underway to finaily merge the Police and Fire emergency communications centers. Mayor Coleman had ordered this consolidarion in late 1998 and negotiations were underway between the Police Department, Fire Depamnent and the Mayor's Office about how to achieve a merger. Anxiety was high among ECC employees who did not lmow how the merger would affect them or their work situation. The computer-aided dispatch (CAD) system had recently been upgraded and their workpiace was under construcrion. There were problems with noise, air quality and comfort. Simultaneously the Department was installing new workstations and installing and testing new equipment. In additiott, departmentai leaders were in the process of making decisions about the firture management of the ECC. To make matters worse, there were continuing staff shortages resuiting in increased individual workloads. These situations were compounded by a long- standing belief that the police officers and managers did not realiy appreciate or respect the work being done by the civilians in the ECC. Given these problems, understanding the frvstrarions expressed by ECC employees through the employee survey in the Spring of 1999 is not difficuit. A great deal has happened in the ECC in the yeaz since Ganiz-Wiley Reseazch conducted this employee survey. T'hey have compieted the merger of the Police and Fire communicarions centers and they have appointed a civilian manger to oversee the ECC. The redesign and renovation of the ECC have been completed and they have installed a great deal of new and impraved equipment. They have appointed new civilian shift supervisors and training for these supervisors is ongoing. Also, the consolidation of the two communicarions centers has made it possible to redistribute workloads so more personnel are available to handle incoming 911 calls. Consultants Importantly, the Police Department has engaged the services of two Senior Business Consultants &om the Office of Human Resources to help with the development and implementation of plaus "to establish the most effective Emergency Communications Center in the nation." Ttiis management iniriative, begun in the Summer ef 1999, includes assessment, anatysis, recommendations, implementarion and evaluation. The assessment phase was completed in October 1999 with a report presented to Police management based on information &om nine employee focus groups. Goals statements and acrion plans were developed based on this information and analysis. The specific goals they adopted were: 4 ��-S�o 1. Strengthen the communication link between manager, supervisors and employees; 2. Establish consistency between supervisors in administration of policies; 3. Manage and monitor the �ansition process; 4. Establish standards and expectations for employees; 5. Provide necessary training for staff; and 6_ Finalize hiring of staff complement authorized. This project reached the evaluarion phase with a survey of ECC employees being conducted by the Human Resources consultants in March of 2000. The survey asked ECC employees to rate progress towazd the accomplishment of each of the transition plan goals on a scale of 1 to 5 with 5 signifying the highest degree of progress or complerion. It also asked respondents to describe "What issues have not yet been addressed yet?" and "What do you believe aze the next steps or strategies that should be undertaken?" Twenty-two (37%) of 59 employees responded to the survey. T'he results of this survey were mixed. Between four and ten of the respondents gave generally positive responses depending on the goal. Ten were generaily positive about the goal of hiring staff to authorized levels but only four were positive about consistency aznong supervisors. Responses regazding the other four goals were in the middle. Eleven, or 50%, of the respondents were quite negative with no ratings above two for any goal. Many respondents provided extensive written comments addressing a variety of concems and providing suggestions. Since the survey did not collect demographic information such a shift or job title &om respondents, determining the types of respondents who were more posirive from the more negative is not possible based on their position in the organization or any other criteria. Nevertheless, the number of generally negarive responses is conceming, and it suggests they have not yet accompiished their organizarional goals. Recognizing the ECC remains in a state of fluu is, however, important and it is relarively early in the transirion process. For example, they have promoted almost half the employees in the ECC in the past year and they aze continuing to hire new staff. Training for six new shift supervisors is incomplete and many issues aze yet to be addressed. It is also important to remember the merger of the two communication centers took place only last year. Therefore, while these early evaluarion results may be disappointing, it is far too early to reach judgement about the Police Department's ability to manage the merged ECC. Conclusions There can be little doubt the ECCs have been a troubled organizarions for a long 6me. It also appeazs that a serious effort is underway to resolve these difficulries. They have accomplished 5 much in the past year to improve both the physical work environment and general working conditions, but much remains to be done. However, we believe the Police Deparknent is engaged in a serious and positive effort to address the problems evidenced by ECC employees in the 1999 Gantz-Wiley survey. We also believe this effort will take more rime but it holds promise. Recommendation 1: We recommend the Police Deparhnent be recognized for its current e, fj'orts to improve the ECC and it be allowed time to �.xperience the results of these e„�`'orts. Periodic assessments ofprogress should continue 10 be made by the Police Deparlment. �lt this time, however, we recommend the Police Department be encouraged to continue, with assistance of the Human Resources Senior Business Corrsultants, its current efj'orts to build "the best emergency communications center in the country. " PROMOTIONS The survey of Police employees raised concems about how the Chief awazds promorions in the department. Some respondents reflected these concems in responses to both the structured survey questions and in the written comments. The written comments also raised issues about how the Chief handles transfers within the department. We are investigating some concems expressed about promorions, but for reasons explain later in this report, we aze not addressing transfers in this study. The Gantz-Wiley survey inciuded five quesrions relating to promotions. These questions asked about Imowiedge of job openings, opportuniries for advancement and fairness. The question regarding empioyees lmowledge of job openings and opportunities for advancement received ratings very similaz to those in the narional WorkTrends° data. The questions about fairness, which were quesrions added to the survey instrument by the City, and For which there is no comparative data, received decidedly negarive responses. Only 22 percent of respondents felt the Police Department applied personnel policies fairly and only 15 percent gave a favorable response when asked if the Police Department handled promotions and transfers fairly. Written Comments The written responses contain a variety of claims and assertions regarding favorirism and discriminarion. Some accused the Chief of having personal favorites to whom he gives preference for promotions and transfers to desired assignments. Others claimed the Chief uses race/ethrticity and gender as considerarions in selecting candidates for promorion. Interestingly, these claims about race/ethnicity and gender conflict. Some believe he favors women and others ciaim he favors men. Similazly, some claim he favors African-Americans while others think he C� �6 - S�� favors wlvte candidates. Respondents made assertions in some written comments that the Chief improperly manipulates the personnel system to advance the interests of a favored few or particulaz gender or raciaVethnic groups. They asserted the Chief has timed personnei requisitions to help the candidacy of certain individuals and he has "stacked" oral boazds to hopefully advance the cause of certain individuals or groups. In addition, some claim he has sought to influence Human Resources to score tests in ways that increase the number of tie scores to maximize the number of candidates available to him for selection. While investigating each of these "system manipularion" claims might be possible, we believe looldng at `Yesuits" is much more direct and efficient. The important thing is not whether the Chief has attempted to influence the system, but whether actual promotions reflect bias in ways City policy or laws prohibit. City policies preclude the consideration of a candidate's race/ethnicity, gender and disability status when making promotion decisions, and we will focus on determining if the Police Deparhnent is following these policies. Transfers Not Studied Because survey respondents often mentioned concems about transfers in the written comments, we considered attempting to analyze transfers for evidence of prohibited discrimination or punirive transfers. Upon serious consideration, we concluded studying transfer practices within the Police Department is not practical. The principle problem is that it is virtually impossible to determine, at a given point in the past, exactiy which Police employees were eligible to be transferred to a particular assigunent. Without knowing exactiy who is eligible, comparing those eligible for transfer with those actually transferred is not possible. Therefore, it is not likely we could assess the probability the Police Department is employing prohibited selecfion criteria. Beyond the difficulty in establishing eligibles, achieving agreement about which transfers aze posirive and which are negative is di�cult. For example, a transfer to an administrative assignment may be considered highly desirable to an officer who aspires to become a police administrator. An officer who prefers direct law enforcement work may view the same assignment as undesirabte. Similazly, an of�icer may view an assignment differently at different cazeer stages. A rookie officer may view an opportunity to work, perhaps undercover, in narcotics as a great opportunity. This same officer, after working 20 years in patrol, might find such an assignment unattractive. Since determining who was eligibie for each possible transfer is very difficult, if not impossible, and since there is no agreement as to which assignments are desirable, we have reluctantly concluded examining transfers for evidence of race/ethnicity, gender or disability bias is not possible. None of these problems exist with respect to promotions and we will systematically 7 examine them in the succeeding sections. It may, however, be reasonable to assume, since the Chief of Potice makes both promotion and transfer assignments, if prohibited criteria are being considered in making transfers, these same factors should reveal themselves in the analysis of promorions. Affirmative Action Policies for Promotions The City of Saint Paul has an official policy of seeldng protected class applicants for City employment. The City seeks to advance this policy through the activities of the Affirmative Action D'uector who is charged with facilitating and monitoring the implementation of this policy Citywide. Promotions aze not, however, addressed in the City's affirmative action policy but are govetned by the Civil Service Rules. These rules do not provide for any preference among candidates based on race/ethnicity, gender or disability status. Because some respondents have suggested the Police Department may �ve preference for promotion Yo certain protected class employees to achieve a workforce that is more representative of the community, we asked senior police administrators if such a policy euists within the Police Department They told us, emphatically, the protected ciass status of employees is not a consideration when making promotions within the Police Deparkment. Process for Promorions Promotions are handled in the Police Deparhnent as provided for in the applicable Civil Service Rules and collecrive bazgaining agreements. Civil Service Rule 7(Eligible Lists ), Civil Service Rule 8(Filling Vacancies) and Civii Service Rule 14 (Promotion Requirements) prescribe the process to be foliowed by the Police Department for promotions. No bargaining agreement requirements contain provisions regazding promorions within the Police Department except for the few Police employees in the Professional Employees Association and the Saint Paul Supervisor Organization. With these two bargaining units, different practices aze to be followed if there aze fewer than three candidates on the eligible list. The process for promotions begins when the appointing authoriry submits a requisition to the Office of Human Resources asldng for a certified list of candidates for promorion to a particulaz title within the Police Deparhnent. The Office of Human Resources conducts tests and subsequently develops a promotional score for each qualified applicant. The Office of Human Resources tken certifies to the appointing authority the three highest scoring candidates, and the top three candidates from the appointing @ivision, plus ries. This means the appoinring a¢tkority always has at least three candidates to consider for each promorion. The appointing authority may promote any candidate on the certified list. There aze some slight variarions on this practice �a -s�� when there is more than one vacancy within a ritle to be filled, but the process is essenrially the same. While the appointing authority's discretion to promote is limited to choosing among caudidates on the certified list, the appointing authority has complete discretion when choosing among certified candidates. This exercise of discretion provides opportunities for the consideration of legirimate criteria such as aptitude, prior performance and attitude. It also provides an opporhuiity for the consideration of illegitimate criteria such as race/ethnicity, gender and disability status. In this study we will examine promotions awarded within the Police Department during the five-yeaz period of 1995 through 1999 to determine if there is evidence prohibited criteria are influencing promotions within the Police Deparhnent. Lawsuits and Sustained Grievances There aze legal remedies available to Police employees who are denied promotions due to the use of prohibited discriminatory criteria. These remedies aze available through the initiation of lawsuits against the City of Saint Paul under a variety of state and federal laws. There aze also opportunities for employees who are denied promotions, because of the failure of the Police Department to follow the City's Civii Service Rules or the terms of bazgaining agreements, to file grievances seeking remedies. Upon consultarion with the Office of the City Attomey and review of the records of the Office of Labor Relations, we found there have been no findings of prohibited discrixnination in promotions in the Police Department during the study period of the past five years. Statistical Analvsis It is possible using standard statistical methods to determine the likelihood that race/ethnicity, disability status or gender influences the outcome of promorion decisions. The basic principle is that by imowing the overall probability candidates will be selected for promotion, one can assess the likelihood the number of candidates selected from a particulaz subgroup of candidates, such as women, would occur by chance. If it is likely the particular distribution being examined could occur by chance or normat variarion, there is no staristical basis to conclude this variable is a factor in the decision-making process. If, however, it is found that the number of candidates selected for promorion from a particulaz subgroup is highly unlikely to have occurred by chance, one may infer this factor is influencing promotion decisions. To conduct this starisrical analysis, we created a data base including the name, race/ethnicity, gender and disability status for candidates for promotion the Office of Human Resources certified to the Police Department during the 5-yeaz period of 1995 through 1999. Also included 0 in this data base was a notation showing which candidates were actually selected for promorion. Council Reseazch conshucted this data base from copies of original records provided by the Office of Human Resources. It contains records for 305 candidates for promotion, 127 of whom were actually promoted . We do not include informarion from lists where all candidates on the list were promoted because the promotion of all eligible candidates precludes any possiblity of selecrion bias. The program used to conduct this analysis was the Statistical Pacicage for the Social Sciences and the staristical test used in ttris analysis is Peazson Chi-Square. The following sections analyze promotions in the Police Department by race/etluvcity, gender and disability. These analyses aze presented overall, by yeaz and by job type (swom and non-swom). Gender Table 1 displays the number of candidates for pmmotion and the number of persons promoted overall, by year followed by a brief interpretation of each yeaz. None of these data show statistically significant differences in promotions based on gender. For the purposes of this study, we aze considering any Clu-Square probability of p>.OS to be staristically significant. A probability of p>.OS means Yhere is less thau 5 chaaces in 100 this distribution would occur if there was no underlying relarionship between the two variables. The year 1995 shows a greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.091) 10 ts� �S'� The yeaz 1996 shows a greater percentage of male candidates were promoted, but this difference is not statistically significant. (Chi-Square = .147) The yeaz 1997 shows a greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.280) The year 1998 shows a greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.095) The yeaz 1999 shows a slightly greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.786) The total for years 1995-1999 shows a somewhat greater percentage of female candidates were promoted, but this difference is not staristically significant. (Chi-Square =.129) In view of the possibility there might be a difference regarding the effects of the gender of candidates for promotion to sworn and non-sworn positions, Table 2 displays the effects of gender for sworn and non-swom positions. Table 2. Promotions from 1995-1999 Type Non-Sworn Male Gender: Sworn and Non-sworn Female Sworn _ Male `Femate Percent 42.1% 19 65 36 43.1% �='68, 37.8% � 22 `:- " 53:7% Table 2 shows during 1995-1999 a slightiy greater percentage of female candidates for non-sworn positions were promoted, but this difference is not statistically significant. (Chi- Square = .940) Table 2 aiso shows during 1995-1999 a greater percentage of female candidates for promorion to swom positions were promoted, but this difference is not staris6cally significant. (Chi-Square = .062) A review of the findings and staristical calculations displayed in Tables 1 and 2 discloses there is no evidence, as determined by convenrional statistical tests and standards (p>.OS), gender was a factor in promotion decisions within the Police Department during 1995 through 1999. This is true when we conduct analyses by yeaz and when analyzing sworn and non-sworn positions sepazately. 11 Disabiliry Status We recorded and analyzed the disability status of all candidates for promotion for evidence disabiliry status was a factor in promotion decisions in the Police Department during the five- yeaz period of 1995-1999. Disability status as recorded by the City refers to self-reported disabilities which may not be appazent, or even lmown, by the appointing authority. Because of the small number of candidates who report disabilities, it is only possibie to conduct a statistical analysis for all positions for the entire period. Table 3 displays the number of candidates by disabitity status and the percentage promoted Table 3. Promotions durir Stafus -,_�=_`'., --_-- - Not Disabted 294 t I21 -- = _:-� _ _ _: 41.2% Table 3 shows a slightiy higher percentage of disabled candidates than not-disabled candidates were promoted during tfie five-year period of I995-1999 but this difference is not starisrically significant. (Chi-Square = .776) A review of the findings and statistical calculations displayed in Tables 3 discloses there is no evidence, as determined by conventional statistical tests and standards (p>.OS), disability status was a factor in promotion decisions within the Police Department during the period of 1995 through 1999. Race/Ethnicily To investigate the role, if any, of race/ethnicity in the promotion decisions made in the Police Department during the past five yeazs, we recorded the race%thnicity of each candidate for promorion and of those promoted. Table 4 shows these numbers and percentages for the period of1995-1999. Table 4. Promotions Race/Ethnicity -° White 280 � 111 I 39.6% African America - fi Hispanic 10 Asian --= ' = -� Native American 3 5 50.0% 0 ' 0.0% 2 66.7% Wtule there aze differences in the proportion of candidates promoted by race/ethnicity, the Chi- square test cannot be appropriately applied to these data because of the high percentage of data 1995-1999 by Disability Status [L'S��Ll3.� Csndidates �= 1 '/• Promoted 12 � � vO �J ! cells with an expected count of less then five. This makes the test unreliable. The data for 1997 and 1998 (Tables 5& 6) show that three of seven race/emicity minoriries were promoted in 1997 and one of four race/ettuiicity minorities were promoted in 1998. Neither of these proportions suggest any favoritism towazd minority candidates. Table 5. Promotions in 1997 by Race/Ethnicity Race/Ethnicity ,-- _ --_. Candidates -,_ _ :`-.Promoted White 58 20 __ � n _ �oted =_% Promoted 29 38.2% I Hispanic I 3 I 0 I 0.0% I Table 5 shows there were seven African-American and Hispanic candidates in 1997, of which three were promoted. Table 6. Promotions in 1998 by Race/Ethnicity RaceJEthnicity " Candidates White 7( -�,�- _...,- _ � African-American . .- . , I ` ` � �spamc I 2 � 0 � ' 0.0% � Native American 1 - 0 0,0% Table 6 shows there were four African-American, Hispanic and Narive American candidates in 1998, only one was promoted. Table 7. Promotions in 1999 by RacefEthnic Race/Ethmcity Candidates White 116 African-American - = ( Hispanic � - "°-_._ 5_ nsian _. _ _.._.__ Native Americaa l v __: - :.s �.- 2 34.5% f , , .r__ __ 48 41.4% 4 " ; 66.7% 5 100.0% �.,--_ �., � _��°_---_— --- 0- = 0.0% 2 100.0% 13 Table 7 shows the unexpectedly high number of Hispanics and Native Americans promoted in 1999. All of the candidates from ihese two groups were promoted Also, a somewhat higher than expected percentage of the African-American candidates were promoted It is very important to note this pattern exists only for 1999. As noted eaziier, there were no minority candidates in the years of 1995 or 1996. As in the analysis of the total promotions between I995-I999 (Table 4), the Chi-square test cannot be appropriately appiied to these data because of the lugh percentage of data cells with an expected count of less then five makes the test unreliable. In an effort to better understand the reasons all of the Native American and Hispanic candidates were promoted in 1999, we carefully examined the promorion lists from which they were chosen for any evidence they were given preference because of their race/ethnicity. This examination shows the two Narive tlmerican candidates were 1�` and 2"� on their respective lists. In neither case were there any higher ranking white candidates whom they also did not promote. A review of the promotions of all five Hispanic candidates in 1999 shows on one list the Hispanic candidates were 1� and 3rd. In this case the first four candidates were all appointed including the two wlute and the two Hispanic candidates. In the other three instances, the Hispanie candidates were 3�, 4'� and 5'" on their respective lists. In these Uuee cases, there were wlute candidates Ivgher on the list whom they did not promote. There is, however, nothing unusual about the selection of candidates who aze lower on the eligible lists. A review of Police Department promorions in 1999 where all of the candidates were white, shows many cases where lower ranking candidates were selected for promotion over higher ranldng candidates. There aze, for example, instances in 1499 where the Chief chose to promote the 2"d, 3"`, 4"', 5"', 6'�, or 7th ranking candidates from all-white lists even though there were other lugher ranked candidates available. The Chief often exercises his discretion as an appointing authority to choose Iower-ranking candidates from eligible lists and there is nothing to suggest the promotion of three Hispanic candidates who were 3'�, 4`� and 5'" on their respecrive lists is in any way unusual. Summarv A comprehensive review of promorions within the Police Department during the five-yeaz period of 1995-19991eads us to conclude the race%thnicity of candidates has had little, if any, effect on their likelihood of being promoted in the Police Department. The promotion data for 1999 do show an unusually high number of Hispanic and Narive American candidates were promoted in that year. The absence of any similar pattem in any other yeaz or among non-sworn personnel leads us to the conclusion this is not reflecrive of racial discrimination. 14 6fl — Conclusions The analysis of promotions within the Police Department for the five-yeaz period of 1995 through 1999 dces noY show raceletluucity, gender or disability status have improperly influenced promotion decisions. Policy Note: It u impossible not to notice the conflict between the City's policy, as reflected in the Civil Service Rules, that prorrtotions are to be made solely on merit, and the practice of the City s A�'irmative Actio» Director of recommending the promotion of certain candidates based on their protected class status. It appears this practice conflicts with City policy. It is also possible that knowledge of this practice leads Police employees to believe protected clars status is a factor in promotions when that does not appear to be the case. FORMAL RECOGNITION PROCESS Police Depaztment recognition of outstanding employee performance was a significant azea of concem for survey respondents. The Gantz-Wiley survey found many employees were concerned about the quality of recognition in the Department and there was a perceprion among many employees that recognition was not given to deserving empioyees. Overall, survey participants gave a 48 percent unfavorable response when asked if the Depamnent recognized good performance. Unfavorabie responses were especially high among staff in the FORCE unit (50°to), Street Patroi (51%), the Canine and Mounted Patrol unit (62%), and the Communicarion Center (85%). These findings aze significant in that the Saint Paul Police Department, as a pazaniilitary organizarion, has a long tradition of awarding formal recognitions. In addition, several respondents in the written comments of the survey were particulazly concemed that senior management awarded formal recognitions and commendations unfairly to staff favored by the Chief. Further, some of these staff suggested there were employees who deserved formal recognition but did not receive it because they were out-of-favor with the DepartmenYs senior management. Importantly, while Police Department employees identified the failure to recognize outstanding performance as a problem area, routine performance evaluation pracrices were not an issue. Research Methods While deciding whether senior management awards formal recognitions to the most deserving employees is impossible, we can examine if the Department uses a well-developed and formal process for awarding recognitions. The primary assumption of this analysis is that a well- developed process will iead to recognitions that employees perceive to be more credible and fair 15 fhan a less-developed process. To determine the levei of development of the Department's recognition system we conducted att inventory of all formal staffawards and commendations. We then interviewed senior management and members of the Commendarion Review Board to determine how eacisting processes work. We also reviewed any documents which pertain to the Department's recognition policies and practices. We analyzed the data obtained from interviews and the document review and compared them wifh the attributes of well-developed recognition processes &om lugtzly effective organizations. Tlus analysis is similar to that Council Research has used in its performance audits of various City Departmental activities and is based in large part on the Baldridge National Quality Criteria for Performance ExceIlence.` Where deficiencies in these processes and activiries aze identified, we make recommendations to correct or reduce problems. These recommendations aze included at the end of this section. Formal Recognition Process in a High-aerformin� Organization High-performing organizations have processes in place to systematicaily recognize outstanding performance. These processes provide recognition opportuniries which go beyond the normai compensation system. These recognitions could be monetary or non-monetary, formal and informal, as well as individual and group recognitions. '£he purpose of recognition practices should be to encourage all employees to contribute to organizarional goals. Employee recognirions should also foster high performance, adaptability and result in individual and organizarional learning. Also, in a recognition process which is well-developed we would eatpect to find a system which is widely understood by staff, involves many stakeholders, has established criteria and is updated regulazly for improvement. Findin�s There are eleven official recognitions which aze awarded by the Saint Paul Police Depariment. The criteria and methods for determining award recipients vary. Below, we outline the Department's awards, their criteria and the process for determining who receives each award. 17uee awards aze determined solely by the Chief, seven are awarded through the Commendation Review Board process and the Officer of Year Award is determined by a coaunittee and the Cluef. � For an example of a performance audit see Performance Audit of the Ciry ofSaint Paul's Labor Rela6ons Activities, August, 7999. 16 �o -S' ° Officer of the Year The Officer of the Yeaz Awazd recognizes the police officer who has demonstrated exceptional achievement in carrying out his or her duties. This is considered to be the highest level of achievement obtained by the Department's police officers. Officers and sergeants aze eligible and ali azeas of police activiries can be recognized, including crime prevention, community policing, investigarions and acts which demonstrate extraordinary valor. Candidates may be nominated by any officer in the Department. Each yeaz the Chief sends out a Depaztment-wide memo to announce the Department will be accepting nominarions for the award. A nomination form is sent separately thzough the DepartmenYs "Daily Bulletin" email. The Deparhnent requires the form be used to nominate someone. Nominations aze submitted to the Deparhnent's Personnel Director who forwards them to a screening committee. The committee, which consists of five commanders who do not supervise field staff, reviews the nominarions and submits three recommendadons to the Administrative team. The three finalists are announced to the Department and the Administrative Team makes the final selection. The final selecrion is announced at a luncheon, attended by the family and friends of the three candidates, senior leaders, and other members of the Department. Until 1999, the Officer of the Yeaz awazd committee did not have any criteria to guide its selections. To address this deficiency, the Department's current Personnei Director introduced a set of guidelines which were used by the committee when examining candidates. These criteria inciude three dimensions: (1) the lack of unfavorable behavior or activiries, such as disciplines or Internal Affairs complaints; (2) the officer's productivity; and (3) activities which faz surpass those expected of police officers in the line of duty. Although candidates who aze nominated for the Officer of the Year Awazd often aze recognized for an outstanding activity performed in that year, the officer's entire career is examined by the committee. While these criteria guided the committee's work in 1999, they have not been officially adopted by the Department and have not been distributed throughout the Department. The current Officer of the Yeaz Award has been in existence since 1997. Prior to the DepartmenYs awazd, the Ranking Officers Association presented a similar Officer of the Yeaz award from 19741997. None of the interview subjects were able to provide an explanation for why the Department now controls the award's process. There is a plaque in the DepartmenYs John O'Brien Hall of Honor recognizes the recipients who received the Ranking Officers Association award. Since the Department instituted its awazd, this practice has been 2 In ] 99$ these commanders included three execu[ive officers, the Intemal Affairs commander, and the senior duty officer. 3 Before the Saint Paul Police Department instituted its Officer of the Yeaz award, the Department and the Ranking Officers Association jointly sponsored the previous award in 1997. 17 discontinued. However, the Personnel Director states there have been discussions about getting a new plaque for recipients of the Departmental awazd. Police Commendation Program There aze seven types of recognition that can be awarded through the DepartmenYs Police Commendarion Program. Any police employee, swom or non-swom, is eligible for these awards. The seven commendations differenriate between various levels of exceptionat performance and allow for the aclmowledgment of outstanding work done by units, as well as individuais. These awards aze granted for specific actions and, unlike the Offioer of the Year awazd, do not consider the employee's cazeer as a relevant criterion. Criteria for these awazd aze listed in the Saint Paul Police Depar[ment's Operations and Procedural Manual. What follows is a list of the Commendarion Program's awazds, theu criteria and t6e benefits received by the honoree. ❑ Medal of Yalor. The criteria for this commendation states the award should be given "to a member who, conscious of danger, intelligendy and in the line of police duty, distinguishes himself by the performance of an act of gallantry and valor at �*nm;nent personal hazard to life, above and beyond the call of duty." This is the highest form of official recognition a Police employee may receive for a particulaz action or acrivity. The Medal of Valor was established in 1972. It is notable that the first awazd was not given unril 1985. Since that rime, a total of 31 Medals of Valor have been granted, 22 of which have been awarded during the tenure of the current police chief. Officers awarded the Medal of Valor receive a letter from the Chief, a certificate, a medal and a baz for their uniform. The Department holds a"Commanders' Table award ceremo�' to honor the employee. O Medal ofMerit. The criteria for this award states that it is to be "awarded to a member for a highly creditab�e, unusual potice accomplishment " Since the awazd was instituted in 1972, 85 police employees have received the Medal of Merit. During the tenure of the current Police Chief, 61 Medals of Merits have been awarded Members who receive the awazd are given a certificate, a medal and baz for the employee's uniform. The Department conducts an award ceremony for the recipient which takes place in the Chief's office. ❑ Medal of Commendation. This awazd's criteria states it be given to a member in "recognition of intelligent and excellent performance of self initiated police duties" and fhat recipients should be "exemplazs of self initiated police work." m v� -S�l° Recipients receive a baz for their uniform, a letter from the Chief and the awazd is presented at the work site. ❑ Letter of Recognition. This awazd is to be granted to a recipient for "urtelligent and excellent performance of regular duties." A letter of recognition is sent to the employee, a copy of the letter is placed in employee's personnei file and the another copy is sent to the immediate supervisor. ❑ Line of Duty Letter. If empioyees aze nominated for an awazd but their acrions do not meet any of the above criteria, they aze issued a line of duty letter. The letter states the actions taken by the nominee aze considered by the Department to represent the performance of regular duties. ❑ Unit Citation. This awazd recognizes the outstanding performance demonstrated by a work unit. The criteria states that it should be "awazded for exceprional performance of...duty, above and beyond what would be expected..: ' T'he citation is presented at ceremony at the work site to the uniYs commander in the presence of the entire unit. Unit members receive a bar for their uniforms and receive a letter &om the Chief. ❑ Unit Letter of Recognition. The criteria for this recognition states this award `Yecognizes the accomplishment of [a] unit that is noteworthy and commendable but not of such a stature as to merit a Unit Citation." Unit members receive a letter from the Chief. The recipients of these awards are determined by the Commendation Review Boazd (CRB). The CRB is to be made up of ten members who represent a cross-secrion of Departmentat personnel. The DepartmenYs Procedure and Operational Manual states the CRB should include one district supervisor, three patrol officers, two investigators, two civilian employees and a representarive from the Chief s Office. The chair of the committee is the Department's Personnel Officer who selects, with approval of the Chief, the committee members. Members serve staggered three-yeaz terms. There are ten alternates who fill in for those unable to attend meetings. Typically, new CRB members aze selected from the pool of alternates. Any police employee may be nominated by another employee for one of the Department's Commendation Program Awards. There is nothing that prohibits officers from nominating themselves; however, in practice this never takes place. A nomination form is available at all work sites. A written letter can also be used to nominate an employee for an awazd. Completed nominations are submitted to the Personnel Officer who compiles nominations monthly and distributes them to CRB members. A signi£cant number of employees, especially swom employees from a broad cross-secrion of the Deparhnent, participate in the nominating process. However, one problem with the process reported by interviewees is that supervisors aze inconsistent in their approach to nominating 19 employees for awazds. Some supervisors regularly nominate staff for awazds and others never do. As one interview subject suggested, employees could be doing the best police work in the City but the CRB will never lmow about it because their supervisors do not nominate them. It was also reported by severai CRB members that new officers aze very hesitant to nominate their colleagues. CRB conducts a monthly meeting at which each nomination is discussed. Packets which include the nomination forms and supporting information are sent out ahead of time. Members report that everyone reads the information and comes to the meetings well prepazed. Typically, the chair will present a summary of each nomination to the CRB after which a committee member will make a morion, which must be seconded, to grant an award to the nominee. Then a discussion, at times reported to be lively, will ensue regarding the merits of the morion. When the discussion concludes, a vote is taken. If the motion is passed then the recommendation is sent to the Chief's office for approval. If it is unsuccessful, t6e committee wi11 entertain other morions to grant either a higher or lower level of award. If the CRB feels the actions for wluch the candidate has been nominated do not meet the awazds' criteria, it wili recommend a Line of Duty Letter be sent. Committee members report they find it difficult, at times, to decide when some actions exceed regular actions taken in the line of duty. It was noted that this is a particular probiem in deciding when to grant awazds to civilian employees. Often, interview subjects reported, it is difficult to justify recommending the same lugh-level awards that police officers receive for placing their life in jeopazdy for employees who perform outstanding civilian work. There was also feeling that the criteria, wlule appropriate for sworn officers, did not provide guidance for judging civilian work. As a resuit, some suggested civilian work is less recognized by the CRB than work performed by police officers. One interview subject stated the CRB was considering a review of the methods used for recognizing outstanding civilian performance. Overall, the CRB's awazd criteria has not be revised since June of 1995. This is inspite of a 1996 update to the DeparhmenYs Strategic Plan which calls for the commendarion program to have criteria which reflect the values of Community Oriented Policing (COP). The awards criteria, according to the ptan, should place a new emphasis on "imaginative problem solving and neightwrhood involvement" and encourage "the more mundane aspects of police work, such as working out long-term solutions." No one interviewed from the CRB had heazd or read of this reference to the commendation program in the S�ategic PIan. One interviewee, however, stated the CRB does award employees for commimity policing efforts. 4 Saint Paul Police Department Strategic Plan, 1996 Update, page 6. 20 ne-s `7° Chief's Awards The ChieFs Awards are given to "an individuai or group of individuals by the Chief of Police in = recognition of exceptional actions or acriviries taken on behalf of the Department and/or the City of Saint Paul: ' Beside this general statement, criteria do not elcist for these awards. Nevertheless, they consist of the following three awazds that mirror the top commendations available in ffie CRB recognition process. ❑ Chiefs Award for Yalor. Recipient receives a red, white and biue ribbon, and a framed certificate. ❑ Chiefs Award for Merit. Recipient receives a yellow and white ribbon, and a framed certificate. 4 Chiefs Award. Recipient receives a white ribbon and a certificate. Instituted in 1995 by the current Police Chief, the Chief's Awazds provide a means for recognizing the contriburions of individuals from outside the Department. Those who have received past awards include community organizations, citizens, and ]aw enforcement officials from other jurisdictions. Department empioyees aze aiso eligible for a Chief's Award. Although awarded directly by the Chief, the CRB may make recommendarions for Cluef's Awards. Conclusions In teims of the number and types of awards, the Saint Paul Police Deparnnent appears to have one of the most well developed formal recognition processes in the City of Saint Paul. In many ways, this was expected given the strong role awards traditionally play in public safety organizations. The CRB awazds process is especially commendable given that it includes representation from tluoughout the Department. Furthermore, most of the awards which the CRB deals with have established, albeit limited, criteria. The criteria aze easily available to staff through the DepartmenYs Procedure and Operational Manual. The Department should also be credited with instituring the ChiePs Awards program whose primary purpose is to recognize those outside of the Deparhnent. Moreover, as interview subjects indicated, deparhnentai awards aze generally well-sought after and recipients aze held in high-esteem by their peers. Based on the expansion of the awazds program to include the ChiePs Awards and the increase in the number of award recipients, namely the greater number of Medals of Valor and Medais of Merit granted, it is cleaz the current Police Chief places a high value on formal recognirion and recognizes its role in improving the quality of an organization. However, this seemingly new philosophy regarding formal recogrtitions, especially the increase in the number of recipients, 21 does not appeaz to have been adequately communicated to staff. With the exception of the 1996 update to the Strategic Plan and the revision of the Commendation Review Board section of the Procedure and Operational Manual, we did not find any pro-active communicarion to staff that senior management had change its approach to the awazds process. However, based on the greater number of recipients, it would be hard for staff to ignore that a change had taken place. This might explain some of the negative responses about Department awards process found in the Gantz-Wiley survey. Some employees may still be operating under out-dated assumptions about the awards process. It is cleaz &om the interviews and the documents reviewed that the goal to integrate the values of Community Oriented Policing, found in the 1996 Strategic Plan Update, has never been fuily implemented However, there are reports that the CRB places a higher value on COP activides when it makes its decisions. Criven there is no evidence that this aspect of the Strategic Plan has been communicated to most members of the CRB or to Department staff, as a whole, this may have lead to a disconnect between the senior leaders' understanding of the awards process and the expectarions of employees. The awards process suffers &om a number of other problems. Established criteria do not exist for the Officer of the Yeaz award Nor do they elcist individually for the ttuee Clriefls awazds, although there is a general statement of purpose for the awazds in the Procedure and Operatiorxs Manual. Tlus statement does not appear to provide adequate guidance to those seeking to differentiate between the three awards. Moreover, the criteria for the DepartmenYs other awards often makes it difficult for the CRB to recognize outstanding work done by civilians. Participation by supervisors is inconsistent in the nominaring process and many new recnrits do not participate at aiL Finally, it should be noted that some stakeholders, such as community organizarions and block ciubs, have no role in the awazds process. Recommendations Recommendation #l. The Police Department should review and update its existing criteria for awards on a regular basis. At the moment, attention should especially be paid to clarifying the CRB criteria to lessen some of the confusion ezpressed by board members about when to uward certain recognitiorrs. The Department should corrsider building on existing criteria. In cases where established criteria does not exist, such ar the Officer of the Year and the Chief's Elwards, it should �ie developed. A wide cross-section of staff should be involved in this process. Furthermore, an effort should be made to identify ways the criteria can better recognize autstanding work perjormed by civilian employees. If this cannot be done within the existing awards structure, then the Department should corrsider developing new awards for civilian employees. Revision of the awards criteria should implement the objective stated in the 1996 Strategic Plan Update to have departmental awards reflect the values of Community Oriented Policing. 22 Z3� -S�`� Recommendation #3: The Department shoutd consider the development of a rncognition program that operates at the unit or divisional level. This may be of particular benefit to civilian employees who feel the current recognition sysfem does not recognize outstanding work they do. In addition, a recognition process which operates on a divisional or unit level may be more flexible and more easily able to recognize, as the 1996 Strategic Plan Update states, some ofthe "more murrdane aspects ofpolice worlc " Recommendation #4: The Depar[ment should obtain a new plaque to be placed in the John O Brien Hall of Honor which recognizes the recipients of the Department's �cer of the Year award. Recommendation #5: The senior leaders in the Police Department should attempt to increase the participation of supervisors in the awards process. This could be done through outreach or tying such participation to the supervisors' performance evaluations. Recommendation #6: The Department should consider methods for outside stakeholders, such as community organizations and block clubs, to participate in the recognition process. The Deparnnent should corrsider instituting a new award which would provide citizeru and community groups with the opportuniry to recognize excellent work done by the Department's employees. Citizens would nominate employees for the award and serve jointly with Police Department employees on a selection committee. The Chief, as with all other departmental awards, would make the final selection. SENIOR MANAGEMENT - VISION AND PLANNING A primary problem area identified in the Gantz-Wiley survey is managemenYs ability to provide a cleaz picture of the future to employees. To effectively lead an organization into the future, senior leaders must give employees a vision that makes it clear where the organization is heading. Senior managers also need to provide and facilitate a planning process which cleazly develops strategic goals for both the organizarion, as a whole, and specific projects. Oniy 20 percent of respondents to the Gantz-Wiley Survey gave favorable answers to questions regarding senior managemenYs ability to give employees a cleaz picture of the future. There were also several responses in the survey's written comments section which stated senior management made inadequate or poor plans to address future challenges. These issues raised by respondents included the high number of vacancies created by recent rerirements and the conversion to a computerized report management system. To determine the effectiveness of the senior managemenYs vision and planning activiries, we examined the level of development of these organizarionai processes. To do this we conducted interviews with senior managers to identify plans and statements of vision. We also examined 23 the processes in place to develop, communicate, implement and update the vision and plans of the organization. Finally, we reviewed written documents which pertained to the DepartmenYs policies and practices for developing, communicating and updating the organizarional vision and plans. The analysis done in tlus part of the sLudy is simitar to that used in the prior Staff Recognition section. We compaze the data collected witfi the processes used in highly effective organizations. Where deficiencies iu these pmcesses and activities aze 4dentified, we matce recommendations to correct or reduce probTems. In this section, vision and planning aze addressed separately. Recommendations aze included at the end of each sub-section. Vision in a High Organization Senior leaders in high performing organizarions set direction, establish and articulate a clear vision and communicate and make visible the values of the organization. The vision should specifically incorporate the organization's mission, values, goals, strategies and performance expectations. The vision should be widely and regularly articulated to staff. It should be reviewed periodically and revised to adjust for changes in the organization's environment. Findings The current Police Chief developed a written vision for the Department in March of 1998. The vision begins by describing an image of what the public safety environruent in the City of Saint Paul should be in the 21�` Century. It then details the areas on which the Department must focus in order for the vision to become a reality. It incorporates objectives for training, technotogy use and community parhierships. The statement also integrates the DepaztmenYs mission, its past successes, and its core values.s In terms of content, it is an excetlent organizational vision and includes all the elements one looks for in a vision statement. However, an excellent written statement is only a part of what is needed for senior leaders to set organizallonai vision and direction. The senior leaders must also ensure the statement is weIl- known to all staff, reviewed regulazly for improvement and reinforced through the operarions of the Department. Without attention to these steps, even the best vision statement will be ineffecrive. 5 A copy of the SPPD Vision statement can be foued in the appendix 24 �o�s?a The vision statement was created by a senior management team 6 It was first communicated ihrough memos which were followed up over the next twelve months by in-service training for ail senior command staff and sergeants. The training was conducted by the Departrnent's Public Information Officer and a private consultant In addition, all new recruits received a presentation from the Chief regarding his vision for the fuhse and the Department's core values. The statement is also inciuded in their training manuals. Those interviewed report the vision is reinforced throughout the organization through individual performance evaluations, the commendation system and through personai leadership demonstrated by the Chief. The vision for the organization shouid also serve as a basis for strategic planning and be integrated into subsequent updates or acrion plans. However, as will be detailed in the Planning section below, the ChiePs vision statement did not exist when the DepartmenYs Strategic Plan was developed or when it was updated in 1996. Senior leaders in interviews also pointed to the development of their mission statement as an example of the DeparhnenYs vision activities. While this effort is vitally important for creating an effective organization, we do not consider mission to be analogous to vision. The organizational mission is different from vision in that "a mission outlines an organizational purpose while vision goes on to describe how the organization should look if it is working extremely well in relation to its environment and its key stakeholders."' Therefore, in this anatysis we only considered the organizational mission to the extent it is included in the vision statement. Conclusions The DepartmenYs dision statement is exceilent and represents a model for other City departments. The statement has been communicated to staff through memos and supervisors have received in-service training on its specifics. Training of other staff on the vision was left to supervisors who attended the in-service training. One explanation of why some staff expressed such negative responses regazding the organizafion's direction may be that many do not have the same level of understanding of the Department's vision as their superiors because they have not receive the same training. Recommendations Recommendation #7: Training on the Department's vision statement should be provided to all 6 This team included the Chief, Deputy Chiefs, District Commanders, the Public Information Officer, [he Directoz of Research and Development, D'uec[or of Iatemal Affairs, and two civilian supervisors. 7 Btyson, Iohn. Strategic Planning for Public and Non-Proftt Organiations. Jossey-Bass, 1995 page I55. 25 siaff who have not received it. This e, fJ`�ort should focus on front-line offcers and civilian supervisors and employees. Recommendation #8: Objectives outlirred in the vision statement should be explicitly incorporated into the Department's performance evaluatiorrs. Employees should be judged on how well they corrtribute to the achievemenY of the goals which are outlined in the vision statement, such as increased training increased technology use and building effective parfnerships. Recommendation #9: The vision statement should be reviewed prior to the next update of the Deparhnent's Strategic Plan. The vision statement should serve as a basis for the next Strategic Plan update. Planning in a High Performing Organizahon Planning is an activity that incorporates a strong future orientation and a willingness to make long-term commitments to stakeholders. High-performing organizations actively engage in ptanning and recognize the impact not only of intemal changes, but also of environmental factors on the organizarion. Planning considers resource allocation, economic projecEions, future needs of employees, future customer needs and eacpectations, technological developments, and stakeholder requirements. Plans can be long- or short-term, and can be issue specific, organizarion-wide or unit-wide. In order to be effective, plans need to be carried out and updated &equently. Findings The Saint Paul Police Department has developed long-term strategic plans and short-term, issue specific plans, also Imow as acrion plans. While strategic planning has not occurred in the last four years, the Department continues to make use of action plans for specific issues. The Department's pianning efforts are detailed below. Strategic Planning Soon after his appointment in 1992, the current Police Chief initiated a comprehensive plaaning process to develop a Strategic Plan which would institute the plrilosophy of Community Oriented Policing (COP). This plan would guide a11 future depaztmentat activities. COP, according to the Department, is "full service personalized policing where the same officer patrols and works in the same area on a permanent basis, from a decentralized place and interacts � �p�5�to in a pro active parinership with citizens to identify and solve problems."g Although the Department throughout the 1980s had a number of community policing initiarives, COP had not, as this pian set out to do, been institutionalized as the primary philosophy of the Department. Because implementation of COP requires changes at all levels of police work, shifts in stakeholder attitudes and behavior, and involves extemal, as weli as intemai, considerations, undertaking a strategic plan is a most appropriate vehicle for establishing the values and goals of COP. The plan was originally drafted in 1993 by a management team that inciuded the Chief, Deputy Chiefs, District Commanders and the Director of Research and Development. The Chief called together 50 managers for a two day retreat to gather their thoughts on COP. The plan was also shazed with block clubs and other community organizarions to get their feedback. The management team then incorporated the comments into the final version of the plan. It should be noted the team did not solicit the input of front-line officers, civilian employees, and representatives of other City departments. Participation by other City departments would have been particularly valuable because one of the tenets of COP is that coaununity policing is a City- wide responsibility, not just limited to the Police Department. For COP to be successful, the Police Depariment must build relationships with other departments to receive their assistance in improving public safety. Having other key City Departments, such as the City Attorney's Office and the Parks and Recreation Division, participate in the strategic planning process would improve its chances for success. Nevertheless, the Strategic Plan which resulted from this process is comprehensive and includes many attributes one expects in an effecfive pian. The plan is organized azound four quesrions: "Where is the SPPD now? Where does it want to go? How will it get there? How is SPPD doing?" The plan incorporates the DepartmenYs mission statement which was written prior to the planning process. It considers future employee requirements, cirizen and stakeholder expectarions, community partnerships, and technological and capital needs. T4ie plan was updated in 1996 by the same management team that authored the original plan. As part of the update, the Cluef and an outside consultant conducted two sessions on two sepazate days with Deparhnent managers. The feedback provided by the managers was used to revise the plan. The update left most of the original plan intact and added a five year capital improvements plan. The updated plan was communicated to sworn officers at roll calls and to civilian employees through their supervisors. While the Strategic Plan includes a section about evaluating its implementarion, it states that no model is available to undertake a formal evaluation of COP. Instead of a formal evaluarion, the Depamnent has attempted to measure COP's success through a series of annual, subjecrive $ Cowles, Catherine. The Dwelopment of Communiry Policing in Sainr Paut, Minnesata. Cambridge, Mq: John F. Kennedy School of Govemment, Harvazd University, p. 37. 27 assessments. Assessments of the 1993 Strategic Plan goais aze inciuded in the appendix of the 1996 update. In our interviews, senior management reported that these assessmeats have not continued since the 1996 update. However, the Department has worked with Hamline University Graduate School to develop an evaluarion model that will be applied to one aspect of the SYrategic Plan, the Neighborhood Service Area program. The evaluations have been completed but the results will not be released unrii the summer of 2000. In our interviews, the lack of evalvation of COP did not appeaz to be a concern for management team members. One stated tfiat Police Officers meet regularly with block clubs and that the community keeps the Department awaze of how well it's doing with COP. Therefore, there really is not any need to do formal evaluations. Moreover, it was mentioned that very little money is allocated within the Department for serious evaluation activities. Since 1996 there has been no effort to update the Strategic Plan. One member of the management team reported there is no need to change the plan because "it's a good one." Furthermore, this senior leader also stated the Department is more concemed about the daily operations of the Department and `Ssn't thinking in a strategic mode" at the moment. Adion Plans The Police Department creates numerous issue-specific plans, or action plans, to address both intemal and extemal issues. Many of these plans aze developed because of needs idenrified by the Department, but others are developed because of direcrives from the Mayor and City Counci2.' Identified below are the significaat acrion plans identified by senior leaders that have been developed since 1992. ❑ Y2K Preparedness Plan ❑ Neighborhood Service Area Plan ❑ Information Services Plan for Transition to Paperless Office ❑ A Community Outreach Program (ACOP) Plan ❑ Plan for the Consolidation of Police and Fire Emergency Communications Center ❑ Bio-hazazd Prepazedness Plan After a planning issue is identified, the Police Chief appoints a chair and responsible staff to 9 An e�cample of action plan instigated by the Mayor and City Council would be t6e plan to consolidate the Police and Fire Emergrncy Communication Centers. � . , � aa �S� ° serve on a planning committee. Committees will often include sworn and civilian employees, other City staff from outside the Department, law enforcement representatives from other jurisdictions, and citizens. When compieted, action plans are communicated to affected staff through memos. The pians aze upciated on an as needed basis. Some acrion plans that involve efforts wlrich are funded by grants, such as ACOP, aze required to have evaluations by the funding organizarions. Otherwise, the Department does not evaluate the success of action plans. In the words of one member of the Administrarive Team, "If the plan is carried out and the right outcome is achieved then it is considered a success." The primary measwement for success in the Police Department was reported to be whether crime rates aze decreasing in the City and whether the Deparkment is receiving complaints from the public. Budget Activity Performance Plans Each yeaz for the annual City Budget, departments aze required to submit an Activity Performance Plan. In effort to update their acrivity plans to reflect their current Strategic Plan, the Police Department attempted to revise all of its acrivity performance measures. This was a Department-wide effort which took over six weeks and involved 25 employees. After submitting its 2000 Budget with the revised performance measures, the Office of Financial Services told the Department that it did not have the staff or the resources to review the new measures. 1'herefore, they were not included in the 2000 Budget and the previous year's performance measures were used instead. Conclusions The Police Department has undertaken some admirable planning efforts. Especially commendable are its efforts to revise the budget performance measures. However, the Strategic Plan has not been updated in four years and there aze no plans cunently to do so. It would be a serious waste of previous effort to allow this very good plan to become obsolete. Despite the suggestion to the contrary by some senior leaders, all organizations should always think and pian strategically. This is especially true for organizations which operate in the field of public safety. Evaluation of the implementation and results of pians is a particulazly weak aspect of the Department's efforts. With the exception of the effort by Hamline University to assess the effectiveness of Neighborhood Service Areas, the Department has done little to evaluate the effectiveness of its Strategic Plan. The subjective assessments of COP, proposed in the 1996 Strategic Plan, have been discontinued While the Department claims no formal method exists for the overail assessment of COP, it has the ability to evaluate certain aspects of the COP pian with tools such as citizen or employee surveys. This is currently not being done. Moreover, the Department appears to collect only small amounts of data on the effectiveness of any of the Department's plans at anything lower than the patrol district level. This is a major impediment to determining whether community policing is succeeding at the neighborhood level. 29 Recommendations Recommendation 10: The Department should undertake an e„�'ort to revise their current Strategic Plan. This e, fJ`'ort should include senior leaders, supervisors, rank-and file employees, representatives from other relwant City deparhnents and community stakeholders. The update should incorporate new methods for evaluating the success ofCOP. The revised plan should be communicated to staff and integrated ar a central element in the police academy training program. Recominendationll: The Department should continue it's effort to revise its budget performance plan measures and resubmit new measures for inclusion in the 2001 budget. Recommendation 12: The OJfice of Financial Services should work closely with the Police Deparhnent, and a71 other deparhnents interested in revising their budget performance measures, to ensure that new measures can be included in next year's budget. This assistance should assure that City deparhnents are able to maintain and improve the budget performance measures. EMPLOYEE INVOLVEMENT How senior leaders involve employees in decision-making, solicit employee opinions, encourage employees to be innovative and use good employee ideas were azeas of serious concern for Gantz-Wiley respondents. These issues, grouped under the theme of employee involvement, received the most unfavorable responses of any category in the survey. Oniy nineteen percent of all respondents gave a favorable response when asked if the Deparnnent encouraged employees to participate in decisions which affected their work. 7ust 15 percent of survey participants answered favorably about whether senior leaders made a sufficient effort to $et the opinions of people in the Department. With the exception of the police administration employees, Downtown patrol officers and the FORCE unit members, no work group in the Department had more than 20 percent of respondents answer favorably to the questions in this theme. Research Methods To exaznine the effecriveness of senior management's ability to encourage empioyee involvement, we examined the level of development of organizarional processes. To do this we conducted interviews with senior managers to identify mechanisms and practices that involve employees in decisions made about the Department. We aiso examined any documents which pertained to cuirent and past practices to involve empIoyees. The analysis done in this part of the study is similaz to that used in the Staff Recognition and 30 . ,. f30 —S`jb Senior Management-Vision and Planning sec6ons. We compared the data coilected with the processes used in higlily effective organizations. Where deficiencies in these processes and activities aze identified, we make recommendations to correct or reduce problems. These recommendarions aze included at the end of this section. Em�loyee Involvement in High-performing Organizations A primary characteristic of high performing organizarion is that senior leaders encourage employee involvement in decisions made about the organizarion's operarions. Employee involvement also assists senior leaders in idenrifying work pracrices which aze tailored to employees with diverse work place and home life needs. In addition, employees and supervisors must also be involved in the development, design and evaluation of education and training opportunities. These individuals are best able to idenrify critical needs and evaluate success. In general, employee invoivement in area of human resources should improve employee knowledge, crearivity and morivation. Findin�s Senior leaders reported that, as a paza-military arganization, the primary mechanism for employee involvement in the Police Department was communication through the chain of command. Typically, front-line employees express their ideas or concerns to their immediate supervisors, who in turn relay them to command level staff. Commanders then share this informarion with the senior leaders at regular meetings of the Administrative Team. Other mechanisms, however, do exist to solicit employee feedback and involvement. These efforts are detailed below. Chiej's Open-door Meetings Once a week the Chief conducts "open-door" meetings with any staff inembers interested in meeting with him. The meetings take piace at a predetermined rime and the Chief is usually available for up to an hour and half. Because no one is twned away, the sessions sometimes take two or three hours if lazge number of people show up or if individual meetings take a particulazly long period of time. Interview respondents reported that these sessions are weil urilized by staff. Wednesday Commander Meetings Each Wednesday the Chief ineets with the Depamnent's Commanders and other senior staff. It 31 , .. is at these meetings that Commanders provide the Ciuef with employee feedback fhat has come up through the chain of command. In addition, any employee, regardless of rank, may make a presentation at this mee6ng about a new innovation or idea for the Department. The motorcycles unit, bike and horse patrol were atl ideas which were created as a result of front-line staffpresentations at the weekly Commanders' Meeting. Survey af Employee Training and Development Needs The Department surveys stafF'each year to determine iraining needs. Unit supervisors col[ect training requests from &ont-line staff and the senior management teaxn prioritizes them. The Chief reviews the priorities and decides, based on tfie year's budget, wluch opportunities wiIl be offered. Although, this has been a regular practice during the current Chief's tenure, there have been several yeazs wfien it was not done because tfie Department lacked funds to provide a wide azray of training opportuniries. Other Employee Involvement fictivities The Chief soliciYs the opinions of Commanders and supervisors before maldng employee assignments to their units. The Chief ineets montlily with the Police Federation at the stewazds meeting to discuss labor-management issues. Finally, the Department occasionaily contracts with the Office of Human Resources or outside private consultants to do management studies. These studies are undertaken primarily in reaction to probiems that have been idenrified by Department leaders. Conclusions When compared to other high-performing organizarions, the Potice DepartmenYs processes for empioyee involvement aze less than adequate. While the Department provides access to senior leaders through the Chiefs open-door meetings and the Commanders' meetings, very few of theu activities pro-actively solicit employee opinions or innovations. There is a significant difference between providing staff with access to seaior leaders aad creating a culture in which employees feel encouraged to share opinions and ideas for impmvements. The DepartmenYs use of consultartts to assess employee attitudes typically is not pro-active. Notable exceptions to this reactionary approach are the Chief's participation in the steward's meetings and the DepartmenYs effort to survey staff training needs. These are excellent practices. �� It should be noted that in an interview Council Research was informed of at least one instance where this was not done. 32 � � �� J (� Recommendarions Recommendation 13: The DepaHment should pursue the development of a pro-active system to -- assess employee well-being, and identify. employee innovations and concerns. In developing this system, senior leaders should seek the input of a large cross-section of employees and the representatives of the Department's bargaining units. A component of this ef� j'ort could include a periodic employee survey. 33 Appendix Interview Protocol for SPPD Senior Management regarding Employee Involvement, Planning, Vision, and Recogaition Issaes Revised 3-29-00 Employee Invoivement How do senior leaders in Police Department use employee feedback to improve their management of the Deparhnent? Z. How does the Police Deparkment use input from atl employees on education and training needs? How do senior leaders determine employee well-being and satisfaction? What methods are used? Planning 1_ What kinds of plans does the Police Department produce? 2. What is your strategic planning process? What aze the key steps in the process and who aze the key participants? 3. How does the Police Department consider the following key factors in its strategic planning process? How is information on these factors gathered? a. Cirizen needs and expectations b. Human resource capabilities c. Availability of other resources 4. How is the Police DepartmenYs strategic plan communicated to staff and implemented? 5. How often is the strategic plan reviewed and updated? How are updates done? 6. Do action plans (plans for specific tasks) exist? If so, what action plans have been made ? 7. How aze action plans developed? 8. Who is involved in the development of action plans? c � �� �J � 9. How often aze action plans updated? 10. What are the key performance measures or indicators used for tracking the resuits of the plans? How is monitoring of the plans done? Are there any other efforts to evaluate whether plans have been successful? Vision 1. How do senior leaders communicate and deploy organizarional values in the Police Department? 2. How do senior leaders set direction and seek future opportunities for the Police Department? Recognition Process l. What formal employee awards exist in the Police Department? 2. How is the formal awards process tailored to the needs of different categories and types of employees? 3. What is the process for submitting an employee's name for an award? 4. What is the process for determining who receives each award? What are the key steps in the process? 5. Who are the key participants? 6. Does criteria exist for each awazd? (If so, could I get copies of the criteria?) How are Police Department staff informed about the awards process and awazd criteria? 8. What benefits are associated with formal recognition besides the award itseif, such as cash (merit pay), vacation time, etc? 9. How does the awards process reinforce employee well-being, satisfaction and iugh performance in the arganization? �� . � ' � � C u 3 �iG�4p T&E S14INT PAITL POLICE DEPA1tTMENT A VISIONFOR TSE ZI'T CENI'URY It s 9:30 on a Wednesday night, and a Zone visitor is leaving the RiverCentre after a 12-hoza day at a trade show. As she walks to her doxmtown 3zotel, she looks into coffee shops fzlled with animated customers, and nearing: Wabasha and 5�; she nodr to the mounted police officer about to end his sh� Flalf an hozv later, this same businesswoman is on the street again, this time for a quick run by the river...it's her reward at the end ofa successful day. fllthaugh alert and aware, this visitor to Saint Paul is not a, fraid to venture into the evening. Even in her native country — Iza1f way around the globe — she 's heard that the streeis ofSaint Paul are some of the safest in the natior for arry woman, man or child. ?'his picture of Saint Paul in the 21n ceatury is one of economic vitality, friendliness and safety. The Saiat Paai Potice Departrnent ptays a critical role in creating this snapshot of a city that attracts — and retains —heaithy families, successfuI businesses, invested workers and interesting individ�. I envision a police department that continues to capitalize on its strengths, and evolves to meet the ��g �mands of a very dynamic city. Our officers will continue to protect the peace and enfiaace pubIic safeiy in every comer of the city using an ever-increysing rnnge of capabilities and technologies. Training for officers will prepaze them for �Y oPPa�ties to: • restore catm to emotionally-chaz�ed and dangerous situarions; • communicate regulaziy with businesses and with increasingly divezse citizens to get ahead ofproblems; • detect and remove the drugs and guns criminals attempt to bring into the metro azea; • deliver the right message to aud develop relarionsbips with school-age chifdren; and • direct tourists who aze unfamiliar with our s�eeis and values. Each squad caz wiii be equipped with tfie on-board electronics necessary to acceIerate investigations and aaests on the stree� Officers will easily check criminal tristory, match fin�erprints, and write reports &om their cars. Advanced comguter and communication technology will ailow information to be quickiy shared across the depamaent aBd with other a;encies. Our partnerships with citizens, businesses and service a�encies of this city wiil deepen because of our comtnitrnent to be reIIective of and responsive to the city we serve. The diversity on the force — in gender, race, and culture — wili become o eater. we will pursue coUaborations amon� the private and pubtic sectors even more ag�essively. We e:cpect to work across jurisdictions to meeL common �oals. The fomiation of the State Gan� Shike Force is a W � Y �b-S 7 � current example. Additionally, severai projects now bring ihe Saint Patil Police Departrnent togettier with schools, universities, youth organizations, block clubs, state-wide criaie task forces and private basiness. The DepartmeIIt will work to facilitate these collaboraIIVe effarts becaiise they allow us couple the abuadant talents of our officezs and citizens with scarce resources to achieve lon� term resuIts. 2�e Saint Paui Police Department continues to enjoy a positive reputation in the state, and across the coun�y because in the last s�c ye� we focused on training civiiian and swom staff,• investino in t�oioBY� and strengthenin, our parmerships with communities. We are respected for the work pezformed on the s�eet, as well as for the supporave culture fostered wittun the depamneni. There aze azeas which we can improve and we have the wi11 and commitment to do so. I believe the Saint Paul Police Departrnent will serve this city weil3n the next cenhuy because our past and current efforts aze grounded upon strongly held principies: ' We adhere to strong core values of inte2ritc�, compassion, and :especi as we work together toward a common vision oi safe communi�ies: • We aze eood stewazds ef ihe city's resources; taxpayer dollars and funding from �ants aze invested in u�ainin� our ofFicers to be creative and probtem-solving and in furcher developin� technolo�y; • We al�vays look for opportunities to facilitate murizl(y -e^.. =,.:� -;. with other city departments, law enforcement ageacies, and ;he com, • We w thoe�h*,�lly and evaluate ourselves to make sure our work increases public safer✓ w;,iie decreasing cr:minal activity. I envision Saint Paut in the 21n century as a vibrant city attracfive to resident and visitor alike-- a city in which our officers and other public employees aze proud to work and reside. Our core values aze sound and wiI1 carry us into the new century. With the firm support of our city governmeni and citizens, we will enihusiastically do our part to make this vision real. The departrnent exists to professionaIly and energeticalIy serve the community without reaazd to a Person's gender, race, culture or address. We aze and will continue to be the police department of the peopie. The Saint Pauf Police Deparfinent A Vision for t/re 21�` Cer:tury CliiejWilliam K. Finney 10 �Ylardt 7993 Council File # � RESOLUTION GreenSheet# 1�s3`j`j �' �CI�TY OF SAINT PAUL, MINNESOTA J9 / Presented Referred To Cownuttee Date RESOLUTION ACCEPTING Tf� REPORT ENTITLED "A STUDY OF POLICE EMPLOYEE SURVEY ISSUES, PHASE II: DEPARTMENTAL ISSUES" 1 WHEREAS, the Saint Paul City Council commissioned a study of management practices in the Saint Paul 2 Police Department and the City Council directed the Council Investigation and Reseazch Center to conduct this 3 study; and 4 WHEREAS, the Council Investigation and Research CenYer has completed phase II of this study; now therefore, 5 be it RESOLVED, that the Saint Paul City Council accepts the report entitled, A Study of PoZice Employee Survey Issues, Phase II: DepaMmental Issues. Requested by Departrnent of: � Form Approved by City Attomey � by Mayor for Submission to Council SY: �� � s I-� n--�..-r�� BY� ApprovedbyMayor: Date �dfl,� Z-'7'Zi�a By: c��'�c � Adopted by CouncIl: Date Adoption Certified by CouncIl Secretary D'e s"�d Council Councilmember Jim Reiter GREEN SHEET No 1 O 3�; 7 0 �,��� 6-7-00 oa�rc.a�a. 6-14-�� � �� rn.�noeEr anamc xauie�c aloet ❑ �on�mfiCFSU� wuxwta ❑ wvoRt�.assuxn ❑ TOTAL # OF SIGNATURE PAGES (CLIP AlL LOCATIONS FOR SIGNATUR� Accept the report "A Study of Police Employee Survey Issues, Phase II: Departmental Issues." iun� iun s�pprove �A� w ece�eu PLANNING COMMISSION CIB COMMRTEE CML SERVICE COMMISSION I�:L� IF AMOUN7 OF TRANSACTION f Has thie P�um e.erwa'ked under a ari6act for tlis tlepaAmenl? YES NO Fles m"m Pe!eo�Jfi�m ewr been a dlY emWuYee4 YES NO Dces mis percoMim a� a s�a� na normalNa� br any aaren[ cay empwyeev YES NO Istlus pewaKnm a tafge[ed �MOYt YES NO COSTRlEVENUE BUIXiETED (CIRCLE ON� ACTIVT' NtAABER YES NO (a�� _'.�� � pb -5`!b CITY CC)UNCIL RESEARCH REPORT A Study of Police Employee Survey Issues Phase II: Depa�tmental Issues ��� ti w O �� ��� 185� �� � `�► � �� h�� Saint Paul City Council Council Investigation and Research Center Saint Paul, Minnesota GITY � `` �. � �D�S� Saint Paul City Council City Counci! Investigation 8� Research Center Saint Paul, Minnesota 55102 (651) 266-8560 www.ci.saint-paul.mn.us/counciUcirc/ A Study of Police Employee Survey Issues Phase N: Departmental lssues June 2000 Director Gerry Strathman Poiicy Analyst David Godfrey Questions? If you have questions regarding this report please contact Gerry Strathman at (651) 266-8575 or gerry.strathman@ci.stpaul. mn.us � _� INTRODUCTION The Saint Paul City Council, as the goveming body for the City of Saint Paul, is responsible for hearing and investigating complaints about City operations. In recent yeazs, Councilmembers have received complaints from some Police Department employees abouY the management of that department. Ia response to these complaints, the City Couacil direcYed Council Research to commission a survey of Police employees. The Councii Research Director setected Gantz-Wiley Reseazch based on their demonstrated expertise and their ability to compare the survey results from the Saint Paul Police Depamnent employees with a national reference group. Gantz-Wiley Reseazch is a private company headquartered in Minneapolis specializing in employee and customer survey reseazch. The corporate mission for Gantz-Wiley Research is to contribute to their clients' success by helping them better understand and act on the view of their employees and customers. Gantz-Wiley Research completed the confidential survey of Police Department employees in the Spring of 1999. They received responses from 433 of 748 employees surveyed. This response rate of 58 percent is considered excellent for a mail survey. Gantz-Wi1ey Reseazch conducted and reported an anatysis of the survey data. Council Reseazch conducted additional anatysis of the survey data. These analyses identified several suengths within the Police Department. Job satisfacrion and immediate supervisors were highly rated and exceeded expectations based on the national WorkTrends data. There were, however, other areas where the Police employees' responses were less favorable. We grouped these azeas into three categories. These categories and the areasincluded in each are: ❑ Services to rhe Public • Risk to the public • Police officer safety • Adequacy of police resources ❑ Deparlmentallssues • Promorions • Employee recognition • Senior management • Management of the emergency communication center • Employee involvement 6a .sna ❑ Other Issues • Alleged use of traffic quotas • Qualificarions of police recruits � � In the Summer of 1999, the City Council directed Council Research to futther investigate the "Services to the Public" issues. We conducted this study and reported the resuits to the City Council in the report ri8ed "A Study of Police Employee Survey Issues, Phase I: Services to the Public" in November 1999. This study found that: ❑ Based on the Police DepattmenYs "total response time" for priority two and three calls, there is no evidence to support the assertion that the public is at a greater risk than in prior years; and ❑ Based on the officer assault data, there is no evidence to indicate officers face a greater physical risk than in prior years; and ❑ Based on interviews conducted with the Palice DepartmenYs senior officers, there is no evidence to support the assertion that the Deparnnent lacks adequate resources to meet its public safety responsibilities. Upon receipt and consideration of the "Phase I: Service to the Public Report," the City Council directed Council Research to conduct an addirional study of the "Depamnental Issues" identified from the Police employee survey. To that end, Council Research prepared a research design for Yhis study that the City Council approved in January 2000. The City Council approved some modifications of the initial design in February based on recommendations for amendments &om Council Research. Purpose of this Re�ort This report presents Council Reseazch fmdings and analysis regarding each of the "Departmental Issues" identified from the Police employee survey data. We then examine conclusions based on these findings and analysis to determine if the Police Department is being managed in conformance with City policies and good management practices. Should our conclusions suggest the Potice Department is not following City policies, then we will recommend changes in either City policies or Police Deparpnent practices to aclueve alignment. If the Police Department is found to not to always follow the best management practices, we wiil make recommendations for improvements. EMERGENCY COMMUNICATIONS CENTER The City of Saint Paui's Emergency Communicafions Centers (ECC) have long been troubled arganizarions. They have been almost conrinually distressed since their creation two decades ago with the advent ofthe universal "911" emergency service system. At that time, the City 2 � S�� hired a consultant to assist with system design and recommend how emergency communications systems should be organized. The consultant recommended a single emergency communications center for both Police and Fire, staffed with civilians and managed by the Police Department. The City ignored this recommendarion for almost twenty yeazs unril finally implementing the plan last year. Ttris twenty-yeaz delay in adopting the consultanYs recommendation stands as testimony to the power of personalities and politics to obstruct the implementation of professional recommendations. The fact they have provided quality emergency communicarions services during these twenty years of tutmoil stands as a testimony to the ability of dedicated employees to provide good public service despite poor political and management decisions. Given this history, it is not surprising the emp]oyees of the Police Emergency Communications Center provided profoundly negative responses, when surveyed by Gantz-Wiley Research last year, to a11 but one category of the survey questions. The only exceprions to this general negativity were questions about "7ob Satisfaction." In this single category, ECC employee responses were among the highest in the department It appears, despite general dissatisfaction with their work situation, most ECC employees like the kind of work they do and derive personai sarisfaction from providing public service. This finding is particularly importani because it shows ECC respondents were thoughtfu] iw their responses and did not just respond negatively to every question in the survey. Gantz-Wiley Reseazch used twelve categories to summarize the results of the Police employee survey. The respondents from the ECC gave the lowest level of favorable ratings to eleven of these twelve themes. Some themes, such as Customer Service, Performance Feedback, Work Effectiveness, Qualiry, Senior Management and the Departrnent Overall showed the percentage of favorable responses to be 10 to 20 percentage points lower than the Police Deparhnent as a whole. In other themes, such as Immediate Supervisor, Training, Working Conditions and Career Development the percentage of favorable responses was 20 to 30 percentage points lower than the Police Department as-a-whole. Not only were these favorable ratings far lower thaa the Department as-a-whole, they were in some cases remarkably low. For example, only 16 percent responded favorably to questions about "Training," and only 14 percent responded favorably to questions about "Working Conditions." Astonishingly, only 4 percent responded favorably to quesrions about "Employee Tnvolvement " These responses aze not only very low when compared with the Police Department as-a-whole, but they aze even worse, in most cases, when compared with WorkTrends� data from government employees nationally. For example, the responses of ECC employees reflected a 49 percentage points lower rate of favorable response to questions about "Working Conditions" and a 35 percentage points lower rate of favorable response to questions about "Employee Involvement " There can be little doubt, based on these responses to the Gantz-Wiley employee survey, there were serious problems within the ECC. f�] Since the Survev As we seek to interpret the results &om the Gantz-Wiley survey, understanding the situation in the ECC at the time Gantz-Wiley conducted Uus survey is important. Of all the many low points for the ECC during the past 20 years, the Spring of 1999 may haue been the lowest. Almost everything was in flux within the ECC at this time. Planning was underway to finaily merge the Police and Fire emergency communications centers. Mayor Coleman had ordered this consolidarion in late 1998 and negotiations were underway between the Police Department, Fire Depamnent and the Mayor's Office about how to achieve a merger. Anxiety was high among ECC employees who did not lmow how the merger would affect them or their work situation. The computer-aided dispatch (CAD) system had recently been upgraded and their workpiace was under construcrion. There were problems with noise, air quality and comfort. Simultaneously the Department was installing new workstations and installing and testing new equipment. In additiott, departmentai leaders were in the process of making decisions about the firture management of the ECC. To make matters worse, there were continuing staff shortages resuiting in increased individual workloads. These situations were compounded by a long- standing belief that the police officers and managers did not realiy appreciate or respect the work being done by the civilians in the ECC. Given these problems, understanding the frvstrarions expressed by ECC employees through the employee survey in the Spring of 1999 is not difficuit. A great deal has happened in the ECC in the yeaz since Ganiz-Wiley Reseazch conducted this employee survey. T'hey have compieted the merger of the Police and Fire communicarions centers and they have appointed a civilian manger to oversee the ECC. The redesign and renovation of the ECC have been completed and they have installed a great deal of new and impraved equipment. They have appointed new civilian shift supervisors and training for these supervisors is ongoing. Also, the consolidation of the two communicarions centers has made it possible to redistribute workloads so more personnel are available to handle incoming 911 calls. Consultants Importantly, the Police Department has engaged the services of two Senior Business Consultants &om the Office of Human Resources to help with the development and implementation of plaus "to establish the most effective Emergency Communications Center in the nation." Ttiis management iniriative, begun in the Summer ef 1999, includes assessment, anatysis, recommendations, implementarion and evaluation. The assessment phase was completed in October 1999 with a report presented to Police management based on information &om nine employee focus groups. Goals statements and acrion plans were developed based on this information and analysis. The specific goals they adopted were: 4 ��-S�o 1. Strengthen the communication link between manager, supervisors and employees; 2. Establish consistency between supervisors in administration of policies; 3. Manage and monitor the �ansition process; 4. Establish standards and expectations for employees; 5. Provide necessary training for staff; and 6_ Finalize hiring of staff complement authorized. This project reached the evaluarion phase with a survey of ECC employees being conducted by the Human Resources consultants in March of 2000. The survey asked ECC employees to rate progress towazd the accomplishment of each of the transition plan goals on a scale of 1 to 5 with 5 signifying the highest degree of progress or complerion. It also asked respondents to describe "What issues have not yet been addressed yet?" and "What do you believe aze the next steps or strategies that should be undertaken?" Twenty-two (37%) of 59 employees responded to the survey. T'he results of this survey were mixed. Between four and ten of the respondents gave generally positive responses depending on the goal. Ten were generaily positive about the goal of hiring staff to authorized levels but only four were positive about consistency aznong supervisors. Responses regazding the other four goals were in the middle. Eleven, or 50%, of the respondents were quite negative with no ratings above two for any goal. Many respondents provided extensive written comments addressing a variety of concems and providing suggestions. Since the survey did not collect demographic information such a shift or job title &om respondents, determining the types of respondents who were more posirive from the more negative is not possible based on their position in the organization or any other criteria. Nevertheless, the number of generally negarive responses is conceming, and it suggests they have not yet accompiished their organizarional goals. Recognizing the ECC remains in a state of fluu is, however, important and it is relarively early in the transirion process. For example, they have promoted almost half the employees in the ECC in the past year and they aze continuing to hire new staff. Training for six new shift supervisors is incomplete and many issues aze yet to be addressed. It is also important to remember the merger of the two communication centers took place only last year. Therefore, while these early evaluarion results may be disappointing, it is far too early to reach judgement about the Police Department's ability to manage the merged ECC. Conclusions There can be little doubt the ECCs have been a troubled organizarions for a long 6me. It also appeazs that a serious effort is underway to resolve these difficulries. They have accomplished 5 much in the past year to improve both the physical work environment and general working conditions, but much remains to be done. However, we believe the Police Deparknent is engaged in a serious and positive effort to address the problems evidenced by ECC employees in the 1999 Gantz-Wiley survey. We also believe this effort will take more rime but it holds promise. Recommendation 1: We recommend the Police Deparhnent be recognized for its current e, fj'orts to improve the ECC and it be allowed time to �.xperience the results of these e„�`'orts. Periodic assessments ofprogress should continue 10 be made by the Police Deparlment. �lt this time, however, we recommend the Police Department be encouraged to continue, with assistance of the Human Resources Senior Business Corrsultants, its current efj'orts to build "the best emergency communications center in the country. " PROMOTIONS The survey of Police employees raised concems about how the Chief awazds promorions in the department. Some respondents reflected these concems in responses to both the structured survey questions and in the written comments. The written comments also raised issues about how the Chief handles transfers within the department. We are investigating some concems expressed about promorions, but for reasons explain later in this report, we aze not addressing transfers in this study. The Gantz-Wiley survey inciuded five quesrions relating to promotions. These questions asked about Imowiedge of job openings, opportuniries for advancement and fairness. The question regarding empioyees lmowledge of job openings and opportunities for advancement received ratings very similaz to those in the narional WorkTrends° data. The questions about fairness, which were quesrions added to the survey instrument by the City, and For which there is no comparative data, received decidedly negarive responses. Only 22 percent of respondents felt the Police Department applied personnel policies fairly and only 15 percent gave a favorable response when asked if the Police Department handled promotions and transfers fairly. Written Comments The written responses contain a variety of claims and assertions regarding favorirism and discriminarion. Some accused the Chief of having personal favorites to whom he gives preference for promotions and transfers to desired assignments. Others claimed the Chief uses race/ethrticity and gender as considerarions in selecting candidates for promorion. Interestingly, these claims about race/ethnicity and gender conflict. Some believe he favors women and others ciaim he favors men. Similazly, some claim he favors African-Americans while others think he C� �6 - S�� favors wlvte candidates. Respondents made assertions in some written comments that the Chief improperly manipulates the personnel system to advance the interests of a favored few or particulaz gender or raciaVethnic groups. They asserted the Chief has timed personnei requisitions to help the candidacy of certain individuals and he has "stacked" oral boazds to hopefully advance the cause of certain individuals or groups. In addition, some claim he has sought to influence Human Resources to score tests in ways that increase the number of tie scores to maximize the number of candidates available to him for selection. While investigating each of these "system manipularion" claims might be possible, we believe looldng at `Yesuits" is much more direct and efficient. The important thing is not whether the Chief has attempted to influence the system, but whether actual promotions reflect bias in ways City policy or laws prohibit. City policies preclude the consideration of a candidate's race/ethnicity, gender and disability status when making promotion decisions, and we will focus on determining if the Police Deparhnent is following these policies. Transfers Not Studied Because survey respondents often mentioned concems about transfers in the written comments, we considered attempting to analyze transfers for evidence of prohibited discrimination or punirive transfers. Upon serious consideration, we concluded studying transfer practices within the Police Department is not practical. The principle problem is that it is virtually impossible to determine, at a given point in the past, exactiy which Police employees were eligible to be transferred to a particular assigunent. Without knowing exactiy who is eligible, comparing those eligible for transfer with those actually transferred is not possible. Therefore, it is not likely we could assess the probability the Police Department is employing prohibited selecfion criteria. Beyond the difficulty in establishing eligibles, achieving agreement about which transfers aze posirive and which are negative is di�cult. For example, a transfer to an administrative assignment may be considered highly desirable to an officer who aspires to become a police administrator. An officer who prefers direct law enforcement work may view the same assignment as undesirabte. Similazly, an of�icer may view an assignment differently at different cazeer stages. A rookie officer may view an opportunity to work, perhaps undercover, in narcotics as a great opportunity. This same officer, after working 20 years in patrol, might find such an assignment unattractive. Since determining who was eligibie for each possible transfer is very difficult, if not impossible, and since there is no agreement as to which assignments are desirable, we have reluctantly concluded examining transfers for evidence of race/ethnicity, gender or disability bias is not possible. None of these problems exist with respect to promotions and we will systematically 7 examine them in the succeeding sections. It may, however, be reasonable to assume, since the Chief of Potice makes both promotion and transfer assignments, if prohibited criteria are being considered in making transfers, these same factors should reveal themselves in the analysis of promorions. Affirmative Action Policies for Promotions The City of Saint Paul has an official policy of seeldng protected class applicants for City employment. The City seeks to advance this policy through the activities of the Affirmative Action D'uector who is charged with facilitating and monitoring the implementation of this policy Citywide. Promotions aze not, however, addressed in the City's affirmative action policy but are govetned by the Civil Service Rules. These rules do not provide for any preference among candidates based on race/ethnicity, gender or disability status. Because some respondents have suggested the Police Department may �ve preference for promotion Yo certain protected class employees to achieve a workforce that is more representative of the community, we asked senior police administrators if such a policy euists within the Police Department They told us, emphatically, the protected ciass status of employees is not a consideration when making promotions within the Police Deparkment. Process for Promorions Promotions are handled in the Police Deparhnent as provided for in the applicable Civil Service Rules and collecrive bazgaining agreements. Civil Service Rule 7(Eligible Lists ), Civil Service Rule 8(Filling Vacancies) and Civii Service Rule 14 (Promotion Requirements) prescribe the process to be foliowed by the Police Department for promotions. No bargaining agreement requirements contain provisions regazding promorions within the Police Department except for the few Police employees in the Professional Employees Association and the Saint Paul Supervisor Organization. With these two bargaining units, different practices aze to be followed if there aze fewer than three candidates on the eligible list. The process for promotions begins when the appointing authoriry submits a requisition to the Office of Human Resources asldng for a certified list of candidates for promorion to a particulaz title within the Police Deparhnent. The Office of Human Resources conducts tests and subsequently develops a promotional score for each qualified applicant. The Office of Human Resources tken certifies to the appointing authority the three highest scoring candidates, and the top three candidates from the appointing @ivision, plus ries. This means the appoinring a¢tkority always has at least three candidates to consider for each promorion. The appointing authority may promote any candidate on the certified list. There aze some slight variarions on this practice �a -s�� when there is more than one vacancy within a ritle to be filled, but the process is essenrially the same. While the appointing authority's discretion to promote is limited to choosing among caudidates on the certified list, the appointing authority has complete discretion when choosing among certified candidates. This exercise of discretion provides opportunities for the consideration of legirimate criteria such as aptitude, prior performance and attitude. It also provides an opporhuiity for the consideration of illegitimate criteria such as race/ethnicity, gender and disability status. In this study we will examine promotions awarded within the Police Department during the five-yeaz period of 1995 through 1999 to determine if there is evidence prohibited criteria are influencing promotions within the Police Deparhnent. Lawsuits and Sustained Grievances There aze legal remedies available to Police employees who are denied promotions due to the use of prohibited discriminatory criteria. These remedies aze available through the initiation of lawsuits against the City of Saint Paul under a variety of state and federal laws. There aze also opportunities for employees who are denied promotions, because of the failure of the Police Department to follow the City's Civii Service Rules or the terms of bazgaining agreements, to file grievances seeking remedies. Upon consultarion with the Office of the City Attomey and review of the records of the Office of Labor Relations, we found there have been no findings of prohibited discrixnination in promotions in the Police Department during the study period of the past five years. Statistical Analvsis It is possible using standard statistical methods to determine the likelihood that race/ethnicity, disability status or gender influences the outcome of promorion decisions. The basic principle is that by imowing the overall probability candidates will be selected for promotion, one can assess the likelihood the number of candidates selected from a particulaz subgroup of candidates, such as women, would occur by chance. If it is likely the particular distribution being examined could occur by chance or normat variarion, there is no staristical basis to conclude this variable is a factor in the decision-making process. If, however, it is found that the number of candidates selected for promorion from a particulaz subgroup is highly unlikely to have occurred by chance, one may infer this factor is influencing promotion decisions. To conduct this starisrical analysis, we created a data base including the name, race/ethnicity, gender and disability status for candidates for promotion the Office of Human Resources certified to the Police Department during the 5-yeaz period of 1995 through 1999. Also included 0 in this data base was a notation showing which candidates were actually selected for promorion. Council Reseazch conshucted this data base from copies of original records provided by the Office of Human Resources. It contains records for 305 candidates for promotion, 127 of whom were actually promoted . We do not include informarion from lists where all candidates on the list were promoted because the promotion of all eligible candidates precludes any possiblity of selecrion bias. The program used to conduct this analysis was the Statistical Pacicage for the Social Sciences and the staristical test used in ttris analysis is Peazson Chi-Square. The following sections analyze promotions in the Police Department by race/etluvcity, gender and disability. These analyses aze presented overall, by yeaz and by job type (swom and non-swom). Gender Table 1 displays the number of candidates for pmmotion and the number of persons promoted overall, by year followed by a brief interpretation of each yeaz. None of these data show statistically significant differences in promotions based on gender. For the purposes of this study, we aze considering any Clu-Square probability of p>.OS to be staristically significant. A probability of p>.OS means Yhere is less thau 5 chaaces in 100 this distribution would occur if there was no underlying relarionship between the two variables. The year 1995 shows a greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.091) 10 ts� �S'� The yeaz 1996 shows a greater percentage of male candidates were promoted, but this difference is not statistically significant. (Chi-Square = .147) The yeaz 1997 shows a greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.280) The year 1998 shows a greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.095) The yeaz 1999 shows a slightly greater percentage of female candidates were promoted, but this difference is not statistically significant. (Chi-Square =.786) The total for years 1995-1999 shows a somewhat greater percentage of female candidates were promoted, but this difference is not staristically significant. (Chi-Square =.129) In view of the possibility there might be a difference regarding the effects of the gender of candidates for promotion to sworn and non-sworn positions, Table 2 displays the effects of gender for sworn and non-swom positions. Table 2. Promotions from 1995-1999 Type Non-Sworn Male Gender: Sworn and Non-sworn Female Sworn _ Male `Femate Percent 42.1% 19 65 36 43.1% �='68, 37.8% � 22 `:- " 53:7% Table 2 shows during 1995-1999 a slightiy greater percentage of female candidates for non-sworn positions were promoted, but this difference is not statistically significant. (Chi- Square = .940) Table 2 aiso shows during 1995-1999 a greater percentage of female candidates for promorion to swom positions were promoted, but this difference is not staris6cally significant. (Chi-Square = .062) A review of the findings and staristical calculations displayed in Tables 1 and 2 discloses there is no evidence, as determined by convenrional statistical tests and standards (p>.OS), gender was a factor in promotion decisions within the Police Department during 1995 through 1999. This is true when we conduct analyses by yeaz and when analyzing sworn and non-sworn positions sepazately. 11 Disabiliry Status We recorded and analyzed the disability status of all candidates for promotion for evidence disabiliry status was a factor in promotion decisions in the Police Department during the five- yeaz period of 1995-1999. Disability status as recorded by the City refers to self-reported disabilities which may not be appazent, or even lmown, by the appointing authority. Because of the small number of candidates who report disabilities, it is only possibie to conduct a statistical analysis for all positions for the entire period. Table 3 displays the number of candidates by disabitity status and the percentage promoted Table 3. Promotions durir Stafus -,_�=_`'., --_-- - Not Disabted 294 t I21 -- = _:-� _ _ _: 41.2% Table 3 shows a slightiy higher percentage of disabled candidates than not-disabled candidates were promoted during tfie five-year period of I995-1999 but this difference is not starisrically significant. (Chi-Square = .776) A review of the findings and statistical calculations displayed in Tables 3 discloses there is no evidence, as determined by conventional statistical tests and standards (p>.OS), disability status was a factor in promotion decisions within the Police Department during the period of 1995 through 1999. Race/Ethnicily To investigate the role, if any, of race/ethnicity in the promotion decisions made in the Police Department during the past five yeazs, we recorded the race%thnicity of each candidate for promorion and of those promoted. Table 4 shows these numbers and percentages for the period of1995-1999. Table 4. Promotions Race/Ethnicity -° White 280 � 111 I 39.6% African America - fi Hispanic 10 Asian --= ' = -� Native American 3 5 50.0% 0 ' 0.0% 2 66.7% Wtule there aze differences in the proportion of candidates promoted by race/ethnicity, the Chi- square test cannot be appropriately applied to these data because of the high percentage of data 1995-1999 by Disability Status [L'S��Ll3.� Csndidates �= 1 '/• Promoted 12 � � vO �J ! cells with an expected count of less then five. This makes the test unreliable. The data for 1997 and 1998 (Tables 5& 6) show that three of seven race/emicity minoriries were promoted in 1997 and one of four race/ettuiicity minorities were promoted in 1998. Neither of these proportions suggest any favoritism towazd minority candidates. Table 5. Promotions in 1997 by Race/Ethnicity Race/Ethnicity ,-- _ --_. Candidates -,_ _ :`-.Promoted White 58 20 __ � n _ �oted =_% Promoted 29 38.2% I Hispanic I 3 I 0 I 0.0% I Table 5 shows there were seven African-American and Hispanic candidates in 1997, of which three were promoted. Table 6. Promotions in 1998 by Race/Ethnicity RaceJEthnicity " Candidates White 7( -�,�- _...,- _ � African-American . .- . , I ` ` � �spamc I 2 � 0 � ' 0.0% � Native American 1 - 0 0,0% Table 6 shows there were four African-American, Hispanic and Narive American candidates in 1998, only one was promoted. Table 7. Promotions in 1999 by RacefEthnic Race/Ethmcity Candidates White 116 African-American - = ( Hispanic � - "°-_._ 5_ nsian _. _ _.._.__ Native Americaa l v __: - :.s �.- 2 34.5% f , , .r__ __ 48 41.4% 4 " ; 66.7% 5 100.0% �.,--_ �., � _��°_---_— --- 0- = 0.0% 2 100.0% 13 Table 7 shows the unexpectedly high number of Hispanics and Native Americans promoted in 1999. All of the candidates from ihese two groups were promoted Also, a somewhat higher than expected percentage of the African-American candidates were promoted It is very important to note this pattern exists only for 1999. As noted eaziier, there were no minority candidates in the years of 1995 or 1996. As in the analysis of the total promotions between I995-I999 (Table 4), the Chi-square test cannot be appropriately appiied to these data because of the lugh percentage of data cells with an expected count of less then five makes the test unreliable. In an effort to better understand the reasons all of the Native American and Hispanic candidates were promoted in 1999, we carefully examined the promorion lists from which they were chosen for any evidence they were given preference because of their race/ethnicity. This examination shows the two Narive tlmerican candidates were 1�` and 2"� on their respective lists. In neither case were there any higher ranking white candidates whom they also did not promote. A review of the promotions of all five Hispanic candidates in 1999 shows on one list the Hispanic candidates were 1� and 3rd. In this case the first four candidates were all appointed including the two wlute and the two Hispanic candidates. In the other three instances, the Hispanie candidates were 3�, 4'� and 5'" on their respective lists. In these Uuee cases, there were wlute candidates Ivgher on the list whom they did not promote. There is, however, nothing unusual about the selection of candidates who aze lower on the eligible lists. A review of Police Department promorions in 1999 where all of the candidates were white, shows many cases where lower ranking candidates were selected for promotion over higher ranldng candidates. There aze, for example, instances in 1499 where the Chief chose to promote the 2"d, 3"`, 4"', 5"', 6'�, or 7th ranking candidates from all-white lists even though there were other lugher ranked candidates available. The Chief often exercises his discretion as an appointing authority to choose Iower-ranking candidates from eligible lists and there is nothing to suggest the promotion of three Hispanic candidates who were 3'�, 4`� and 5'" on their respecrive lists is in any way unusual. Summarv A comprehensive review of promorions within the Police Department during the five-yeaz period of 1995-19991eads us to conclude the race%thnicity of candidates has had little, if any, effect on their likelihood of being promoted in the Police Department. The promotion data for 1999 do show an unusually high number of Hispanic and Narive American candidates were promoted in that year. The absence of any similar pattem in any other yeaz or among non-sworn personnel leads us to the conclusion this is not reflecrive of racial discrimination. 14 6fl — Conclusions The analysis of promotions within the Police Department for the five-yeaz period of 1995 through 1999 dces noY show raceletluucity, gender or disability status have improperly influenced promotion decisions. Policy Note: It u impossible not to notice the conflict between the City's policy, as reflected in the Civil Service Rules, that prorrtotions are to be made solely on merit, and the practice of the City s A�'irmative Actio» Director of recommending the promotion of certain candidates based on their protected class status. It appears this practice conflicts with City policy. It is also possible that knowledge of this practice leads Police employees to believe protected clars status is a factor in promotions when that does not appear to be the case. FORMAL RECOGNITION PROCESS Police Depaztment recognition of outstanding employee performance was a significant azea of concem for survey respondents. The Gantz-Wiley survey found many employees were concerned about the quality of recognition in the Department and there was a perceprion among many employees that recognition was not given to deserving empioyees. Overall, survey participants gave a 48 percent unfavorable response when asked if the Depamnent recognized good performance. Unfavorabie responses were especially high among staff in the FORCE unit (50°to), Street Patroi (51%), the Canine and Mounted Patrol unit (62%), and the Communicarion Center (85%). These findings aze significant in that the Saint Paul Police Department, as a pazaniilitary organizarion, has a long tradition of awarding formal recognitions. In addition, several respondents in the written comments of the survey were particulazly concemed that senior management awarded formal recognitions and commendations unfairly to staff favored by the Chief. Further, some of these staff suggested there were employees who deserved formal recognition but did not receive it because they were out-of-favor with the DepartmenYs senior management. Importantly, while Police Department employees identified the failure to recognize outstanding performance as a problem area, routine performance evaluation pracrices were not an issue. Research Methods While deciding whether senior management awards formal recognitions to the most deserving employees is impossible, we can examine if the Department uses a well-developed and formal process for awarding recognitions. The primary assumption of this analysis is that a well- developed process will iead to recognitions that employees perceive to be more credible and fair 15 fhan a less-developed process. To determine the levei of development of the Department's recognition system we conducted att inventory of all formal staffawards and commendations. We then interviewed senior management and members of the Commendarion Review Board to determine how eacisting processes work. We also reviewed any documents which pertain to the Department's recognition policies and practices. We analyzed the data obtained from interviews and the document review and compared them wifh the attributes of well-developed recognition processes &om lugtzly effective organizations. Tlus analysis is similar to that Council Research has used in its performance audits of various City Departmental activities and is based in large part on the Baldridge National Quality Criteria for Performance ExceIlence.` Where deficiencies in these processes and activiries aze identified, we make recommendations to correct or reduce problems. These recommendations aze included at the end of this section. Formal Recognition Process in a High-aerformin� Organization High-performing organizations have processes in place to systematicaily recognize outstanding performance. These processes provide recognition opportuniries which go beyond the normai compensation system. These recognitions could be monetary or non-monetary, formal and informal, as well as individual and group recognitions. '£he purpose of recognition practices should be to encourage all employees to contribute to organizarional goals. Employee recognirions should also foster high performance, adaptability and result in individual and organizarional learning. Also, in a recognition process which is well-developed we would eatpect to find a system which is widely understood by staff, involves many stakeholders, has established criteria and is updated regulazly for improvement. Findin�s There are eleven official recognitions which aze awarded by the Saint Paul Police Depariment. The criteria and methods for determining award recipients vary. Below, we outline the Department's awards, their criteria and the process for determining who receives each award. 17uee awards aze determined solely by the Chief, seven are awarded through the Commendation Review Board process and the Officer of Year Award is determined by a coaunittee and the Cluef. � For an example of a performance audit see Performance Audit of the Ciry ofSaint Paul's Labor Rela6ons Activities, August, 7999. 16 �o -S' ° Officer of the Year The Officer of the Yeaz Awazd recognizes the police officer who has demonstrated exceptional achievement in carrying out his or her duties. This is considered to be the highest level of achievement obtained by the Department's police officers. Officers and sergeants aze eligible and ali azeas of police activiries can be recognized, including crime prevention, community policing, investigarions and acts which demonstrate extraordinary valor. Candidates may be nominated by any officer in the Department. Each yeaz the Chief sends out a Depaztment-wide memo to announce the Department will be accepting nominarions for the award. A nomination form is sent separately thzough the DepartmenYs "Daily Bulletin" email. The Deparhnent requires the form be used to nominate someone. Nominations aze submitted to the Deparhnent's Personnel Director who forwards them to a screening committee. The committee, which consists of five commanders who do not supervise field staff, reviews the nominarions and submits three recommendadons to the Administrative team. The three finalists are announced to the Department and the Administrative Team makes the final selection. The final selecrion is announced at a luncheon, attended by the family and friends of the three candidates, senior leaders, and other members of the Department. Until 1999, the Officer of the Yeaz awazd committee did not have any criteria to guide its selections. To address this deficiency, the Department's current Personnei Director introduced a set of guidelines which were used by the committee when examining candidates. These criteria inciude three dimensions: (1) the lack of unfavorable behavior or activiries, such as disciplines or Internal Affairs complaints; (2) the officer's productivity; and (3) activities which faz surpass those expected of police officers in the line of duty. Although candidates who aze nominated for the Officer of the Year Awazd often aze recognized for an outstanding activity performed in that year, the officer's entire career is examined by the committee. While these criteria guided the committee's work in 1999, they have not been officially adopted by the Department and have not been distributed throughout the Department. The current Officer of the Yeaz Award has been in existence since 1997. Prior to the DepartmenYs awazd, the Ranking Officers Association presented a similar Officer of the Yeaz award from 19741997. None of the interview subjects were able to provide an explanation for why the Department now controls the award's process. There is a plaque in the DepartmenYs John O'Brien Hall of Honor recognizes the recipients who received the Ranking Officers Association award. Since the Department instituted its awazd, this practice has been 2 In ] 99$ these commanders included three execu[ive officers, the Intemal Affairs commander, and the senior duty officer. 3 Before the Saint Paul Police Department instituted its Officer of the Yeaz award, the Department and the Ranking Officers Association jointly sponsored the previous award in 1997. 17 discontinued. However, the Personnel Director states there have been discussions about getting a new plaque for recipients of the Departmental awazd. Police Commendation Program There aze seven types of recognition that can be awarded through the DepartmenYs Police Commendarion Program. Any police employee, swom or non-swom, is eligible for these awards. The seven commendations differenriate between various levels of exceptionat performance and allow for the aclmowledgment of outstanding work done by units, as well as individuais. These awards aze granted for specific actions and, unlike the Offioer of the Year awazd, do not consider the employee's cazeer as a relevant criterion. Criteria for these awazd aze listed in the Saint Paul Police Depar[ment's Operations and Procedural Manual. What follows is a list of the Commendarion Program's awazds, theu criteria and t6e benefits received by the honoree. ❑ Medal of Yalor. The criteria for this commendation states the award should be given "to a member who, conscious of danger, intelligendy and in the line of police duty, distinguishes himself by the performance of an act of gallantry and valor at �*nm;nent personal hazard to life, above and beyond the call of duty." This is the highest form of official recognition a Police employee may receive for a particulaz action or acrivity. The Medal of Valor was established in 1972. It is notable that the first awazd was not given unril 1985. Since that rime, a total of 31 Medals of Valor have been granted, 22 of which have been awarded during the tenure of the current police chief. Officers awarded the Medal of Valor receive a letter from the Chief, a certificate, a medal and a baz for their uniform. The Department holds a"Commanders' Table award ceremo�' to honor the employee. O Medal ofMerit. The criteria for this award states that it is to be "awarded to a member for a highly creditab�e, unusual potice accomplishment " Since the awazd was instituted in 1972, 85 police employees have received the Medal of Merit. During the tenure of the current Police Chief, 61 Medals of Merits have been awarded Members who receive the awazd are given a certificate, a medal and baz for the employee's uniform. The Department conducts an award ceremony for the recipient which takes place in the Chief's office. ❑ Medal of Commendation. This awazd's criteria states it be given to a member in "recognition of intelligent and excellent performance of self initiated police duties" and fhat recipients should be "exemplazs of self initiated police work." m v� -S�l° Recipients receive a baz for their uniform, a letter from the Chief and the awazd is presented at the work site. ❑ Letter of Recognition. This awazd is to be granted to a recipient for "urtelligent and excellent performance of regular duties." A letter of recognition is sent to the employee, a copy of the letter is placed in employee's personnei file and the another copy is sent to the immediate supervisor. ❑ Line of Duty Letter. If empioyees aze nominated for an awazd but their acrions do not meet any of the above criteria, they aze issued a line of duty letter. The letter states the actions taken by the nominee aze considered by the Department to represent the performance of regular duties. ❑ Unit Citation. This awazd recognizes the outstanding performance demonstrated by a work unit. The criteria states that it should be "awazded for exceprional performance of...duty, above and beyond what would be expected..: ' T'he citation is presented at ceremony at the work site to the uniYs commander in the presence of the entire unit. Unit members receive a bar for their uniforms and receive a letter &om the Chief. ❑ Unit Letter of Recognition. The criteria for this recognition states this award `Yecognizes the accomplishment of [a] unit that is noteworthy and commendable but not of such a stature as to merit a Unit Citation." Unit members receive a letter from the Chief. The recipients of these awards are determined by the Commendation Review Boazd (CRB). The CRB is to be made up of ten members who represent a cross-secrion of Departmentat personnel. The DepartmenYs Procedure and Operational Manual states the CRB should include one district supervisor, three patrol officers, two investigators, two civilian employees and a representarive from the Chief s Office. The chair of the committee is the Department's Personnel Officer who selects, with approval of the Chief, the committee members. Members serve staggered three-yeaz terms. There are ten alternates who fill in for those unable to attend meetings. Typically, new CRB members aze selected from the pool of alternates. Any police employee may be nominated by another employee for one of the Department's Commendation Program Awards. There is nothing that prohibits officers from nominating themselves; however, in practice this never takes place. A nomination form is available at all work sites. A written letter can also be used to nominate an employee for an awazd. Completed nominations are submitted to the Personnel Officer who compiles nominations monthly and distributes them to CRB members. A signi£cant number of employees, especially swom employees from a broad cross-secrion of the Deparhnent, participate in the nominating process. However, one problem with the process reported by interviewees is that supervisors aze inconsistent in their approach to nominating 19 employees for awazds. Some supervisors regularly nominate staff for awazds and others never do. As one interview subject suggested, employees could be doing the best police work in the City but the CRB will never lmow about it because their supervisors do not nominate them. It was also reported by severai CRB members that new officers aze very hesitant to nominate their colleagues. CRB conducts a monthly meeting at which each nomination is discussed. Packets which include the nomination forms and supporting information are sent out ahead of time. Members report that everyone reads the information and comes to the meetings well prepazed. Typically, the chair will present a summary of each nomination to the CRB after which a committee member will make a morion, which must be seconded, to grant an award to the nominee. Then a discussion, at times reported to be lively, will ensue regarding the merits of the morion. When the discussion concludes, a vote is taken. If the motion is passed then the recommendation is sent to the Chief's office for approval. If it is unsuccessful, t6e committee wi11 entertain other morions to grant either a higher or lower level of award. If the CRB feels the actions for wluch the candidate has been nominated do not meet the awazds' criteria, it wili recommend a Line of Duty Letter be sent. Committee members report they find it difficult, at times, to decide when some actions exceed regular actions taken in the line of duty. It was noted that this is a particular probiem in deciding when to grant awazds to civilian employees. Often, interview subjects reported, it is difficult to justify recommending the same lugh-level awards that police officers receive for placing their life in jeopazdy for employees who perform outstanding civilian work. There was also feeling that the criteria, wlule appropriate for sworn officers, did not provide guidance for judging civilian work. As a resuit, some suggested civilian work is less recognized by the CRB than work performed by police officers. One interview subject stated the CRB was considering a review of the methods used for recognizing outstanding civilian performance. Overall, the CRB's awazd criteria has not be revised since June of 1995. This is inspite of a 1996 update to the DeparhmenYs Strategic Plan which calls for the commendarion program to have criteria which reflect the values of Community Oriented Policing (COP). The awards criteria, according to the ptan, should place a new emphasis on "imaginative problem solving and neightwrhood involvement" and encourage "the more mundane aspects of police work, such as working out long-term solutions." No one interviewed from the CRB had heazd or read of this reference to the commendation program in the S�ategic PIan. One interviewee, however, stated the CRB does award employees for commimity policing efforts. 4 Saint Paul Police Department Strategic Plan, 1996 Update, page 6. 20 ne-s `7° Chief's Awards The ChieFs Awards are given to "an individuai or group of individuals by the Chief of Police in = recognition of exceptional actions or acriviries taken on behalf of the Department and/or the City of Saint Paul: ' Beside this general statement, criteria do not elcist for these awards. Nevertheless, they consist of the following three awazds that mirror the top commendations available in ffie CRB recognition process. ❑ Chiefs Award for Yalor. Recipient receives a red, white and biue ribbon, and a framed certificate. ❑ Chiefs Award for Merit. Recipient receives a yellow and white ribbon, and a framed certificate. 4 Chiefs Award. Recipient receives a white ribbon and a certificate. Instituted in 1995 by the current Police Chief, the Chief's Awazds provide a means for recognizing the contriburions of individuals from outside the Department. Those who have received past awards include community organizations, citizens, and ]aw enforcement officials from other jurisdictions. Department empioyees aze aiso eligible for a Chief's Award. Although awarded directly by the Chief, the CRB may make recommendarions for Cluef's Awards. Conclusions In teims of the number and types of awards, the Saint Paul Police Deparnnent appears to have one of the most well developed formal recognition processes in the City of Saint Paul. In many ways, this was expected given the strong role awards traditionally play in public safety organizations. The CRB awazds process is especially commendable given that it includes representation from tluoughout the Department. Furthermore, most of the awards which the CRB deals with have established, albeit limited, criteria. The criteria aze easily available to staff through the DepartmenYs Procedure and Operational Manual. The Department should also be credited with instituring the ChiePs Awards program whose primary purpose is to recognize those outside of the Deparhnent. Moreover, as interview subjects indicated, deparhnentai awards aze generally well-sought after and recipients aze held in high-esteem by their peers. Based on the expansion of the awazds program to include the ChiePs Awards and the increase in the number of award recipients, namely the greater number of Medals of Valor and Medais of Merit granted, it is cleaz the current Police Chief places a high value on formal recognirion and recognizes its role in improving the quality of an organization. However, this seemingly new philosophy regarding formal recogrtitions, especially the increase in the number of recipients, 21 does not appeaz to have been adequately communicated to staff. With the exception of the 1996 update to the Strategic Plan and the revision of the Commendation Review Board section of the Procedure and Operational Manual, we did not find any pro-active communicarion to staff that senior management had change its approach to the awazds process. However, based on the greater number of recipients, it would be hard for staff to ignore that a change had taken place. This might explain some of the negative responses about Department awards process found in the Gantz-Wiley survey. Some employees may still be operating under out-dated assumptions about the awards process. It is cleaz &om the interviews and the documents reviewed that the goal to integrate the values of Community Oriented Policing, found in the 1996 Strategic Plan Update, has never been fuily implemented However, there are reports that the CRB places a higher value on COP activides when it makes its decisions. Criven there is no evidence that this aspect of the Strategic Plan has been communicated to most members of the CRB or to Department staff, as a whole, this may have lead to a disconnect between the senior leaders' understanding of the awards process and the expectarions of employees. The awards process suffers &om a number of other problems. Established criteria do not exist for the Officer of the Yeaz award Nor do they elcist individually for the ttuee Clriefls awazds, although there is a general statement of purpose for the awazds in the Procedure and Operatiorxs Manual. Tlus statement does not appear to provide adequate guidance to those seeking to differentiate between the three awards. Moreover, the criteria for the DepartmenYs other awards often makes it difficult for the CRB to recognize outstanding work done by civilians. Participation by supervisors is inconsistent in the nominaring process and many new recnrits do not participate at aiL Finally, it should be noted that some stakeholders, such as community organizarions and block ciubs, have no role in the awazds process. Recommendations Recommendation #l. The Police Department should review and update its existing criteria for awards on a regular basis. At the moment, attention should especially be paid to clarifying the CRB criteria to lessen some of the confusion ezpressed by board members about when to uward certain recognitiorrs. The Department should corrsider building on existing criteria. In cases where established criteria does not exist, such ar the Officer of the Year and the Chief's Elwards, it should �ie developed. A wide cross-section of staff should be involved in this process. Furthermore, an effort should be made to identify ways the criteria can better recognize autstanding work perjormed by civilian employees. If this cannot be done within the existing awards structure, then the Department should corrsider developing new awards for civilian employees. Revision of the awards criteria should implement the objective stated in the 1996 Strategic Plan Update to have departmental awards reflect the values of Community Oriented Policing. 22 Z3� -S�`� Recommendation #3: The Department shoutd consider the development of a rncognition program that operates at the unit or divisional level. This may be of particular benefit to civilian employees who feel the current recognition sysfem does not recognize outstanding work they do. In addition, a recognition process which operates on a divisional or unit level may be more flexible and more easily able to recognize, as the 1996 Strategic Plan Update states, some ofthe "more murrdane aspects ofpolice worlc " Recommendation #4: The Depar[ment should obtain a new plaque to be placed in the John O Brien Hall of Honor which recognizes the recipients of the Department's �cer of the Year award. Recommendation #5: The senior leaders in the Police Department should attempt to increase the participation of supervisors in the awards process. This could be done through outreach or tying such participation to the supervisors' performance evaluations. Recommendation #6: The Department should consider methods for outside stakeholders, such as community organizations and block clubs, to participate in the recognition process. The Deparnnent should corrsider instituting a new award which would provide citizeru and community groups with the opportuniry to recognize excellent work done by the Department's employees. Citizens would nominate employees for the award and serve jointly with Police Department employees on a selection committee. The Chief, as with all other departmental awards, would make the final selection. SENIOR MANAGEMENT - VISION AND PLANNING A primary problem area identified in the Gantz-Wiley survey is managemenYs ability to provide a cleaz picture of the future to employees. To effectively lead an organization into the future, senior leaders must give employees a vision that makes it clear where the organization is heading. Senior managers also need to provide and facilitate a planning process which cleazly develops strategic goals for both the organizarion, as a whole, and specific projects. Oniy 20 percent of respondents to the Gantz-Wiley Survey gave favorable answers to questions regarding senior managemenYs ability to give employees a cleaz picture of the future. There were also several responses in the survey's written comments section which stated senior management made inadequate or poor plans to address future challenges. These issues raised by respondents included the high number of vacancies created by recent rerirements and the conversion to a computerized report management system. To determine the effectiveness of the senior managemenYs vision and planning activiries, we examined the level of development of these organizarionai processes. To do this we conducted interviews with senior managers to identify plans and statements of vision. We also examined 23 the processes in place to develop, communicate, implement and update the vision and plans of the organization. Finally, we reviewed written documents which pertained to the DepartmenYs policies and practices for developing, communicating and updating the organizarional vision and plans. The analysis done in tlus part of the sLudy is simitar to that used in the prior Staff Recognition section. We compaze the data collected witfi the processes used in highly effective organizations. Where deficiencies iu these pmcesses and activities aze 4dentified, we matce recommendations to correct or reduce probTems. In this section, vision and planning aze addressed separately. Recommendations aze included at the end of each sub-section. Vision in a High Organization Senior leaders in high performing organizarions set direction, establish and articulate a clear vision and communicate and make visible the values of the organization. The vision should specifically incorporate the organization's mission, values, goals, strategies and performance expectations. The vision should be widely and regularly articulated to staff. It should be reviewed periodically and revised to adjust for changes in the organization's environment. Findings The current Police Chief developed a written vision for the Department in March of 1998. The vision begins by describing an image of what the public safety environruent in the City of Saint Paul should be in the 21�` Century. It then details the areas on which the Department must focus in order for the vision to become a reality. It incorporates objectives for training, technotogy use and community parhierships. The statement also integrates the DepaztmenYs mission, its past successes, and its core values.s In terms of content, it is an excetlent organizational vision and includes all the elements one looks for in a vision statement. However, an excellent written statement is only a part of what is needed for senior leaders to set organizallonai vision and direction. The senior leaders must also ensure the statement is weIl- known to all staff, reviewed regulazly for improvement and reinforced through the operarions of the Department. Without attention to these steps, even the best vision statement will be ineffecrive. 5 A copy of the SPPD Vision statement can be foued in the appendix 24 �o�s?a The vision statement was created by a senior management team 6 It was first communicated ihrough memos which were followed up over the next twelve months by in-service training for ail senior command staff and sergeants. The training was conducted by the Departrnent's Public Information Officer and a private consultant In addition, all new recruits received a presentation from the Chief regarding his vision for the fuhse and the Department's core values. The statement is also inciuded in their training manuals. Those interviewed report the vision is reinforced throughout the organization through individual performance evaluations, the commendation system and through personai leadership demonstrated by the Chief. The vision for the organization shouid also serve as a basis for strategic planning and be integrated into subsequent updates or acrion plans. However, as will be detailed in the Planning section below, the ChiePs vision statement did not exist when the DepartmenYs Strategic Plan was developed or when it was updated in 1996. Senior leaders in interviews also pointed to the development of their mission statement as an example of the DeparhnenYs vision activities. While this effort is vitally important for creating an effective organization, we do not consider mission to be analogous to vision. The organizational mission is different from vision in that "a mission outlines an organizational purpose while vision goes on to describe how the organization should look if it is working extremely well in relation to its environment and its key stakeholders."' Therefore, in this anatysis we only considered the organizational mission to the extent it is included in the vision statement. Conclusions The DepartmenYs dision statement is exceilent and represents a model for other City departments. The statement has been communicated to staff through memos and supervisors have received in-service training on its specifics. Training of other staff on the vision was left to supervisors who attended the in-service training. One explanation of why some staff expressed such negative responses regazding the organizafion's direction may be that many do not have the same level of understanding of the Department's vision as their superiors because they have not receive the same training. Recommendations Recommendation #7: Training on the Department's vision statement should be provided to all 6 This team included the Chief, Deputy Chiefs, District Commanders, the Public Information Officer, [he Directoz of Research and Development, D'uec[or of Iatemal Affairs, and two civilian supervisors. 7 Btyson, Iohn. Strategic Planning for Public and Non-Proftt Organiations. Jossey-Bass, 1995 page I55. 25 siaff who have not received it. This e, fJ`�ort should focus on front-line offcers and civilian supervisors and employees. Recommendation #8: Objectives outlirred in the vision statement should be explicitly incorporated into the Department's performance evaluatiorrs. Employees should be judged on how well they corrtribute to the achievemenY of the goals which are outlined in the vision statement, such as increased training increased technology use and building effective parfnerships. Recommendation #9: The vision statement should be reviewed prior to the next update of the Deparhnent's Strategic Plan. The vision statement should serve as a basis for the next Strategic Plan update. Planning in a High Performing Organizahon Planning is an activity that incorporates a strong future orientation and a willingness to make long-term commitments to stakeholders. High-performing organizations actively engage in ptanning and recognize the impact not only of intemal changes, but also of environmental factors on the organizarion. Planning considers resource allocation, economic projecEions, future needs of employees, future customer needs and eacpectations, technological developments, and stakeholder requirements. Plans can be long- or short-term, and can be issue specific, organizarion-wide or unit-wide. In order to be effective, plans need to be carried out and updated &equently. Findings The Saint Paul Police Department has developed long-term strategic plans and short-term, issue specific plans, also Imow as acrion plans. While strategic planning has not occurred in the last four years, the Department continues to make use of action plans for specific issues. The Department's pianning efforts are detailed below. Strategic Planning Soon after his appointment in 1992, the current Police Chief initiated a comprehensive plaaning process to develop a Strategic Plan which would institute the plrilosophy of Community Oriented Policing (COP). This plan would guide a11 future depaztmentat activities. COP, according to the Department, is "full service personalized policing where the same officer patrols and works in the same area on a permanent basis, from a decentralized place and interacts � �p�5�to in a pro active parinership with citizens to identify and solve problems."g Although the Department throughout the 1980s had a number of community policing initiarives, COP had not, as this pian set out to do, been institutionalized as the primary philosophy of the Department. Because implementation of COP requires changes at all levels of police work, shifts in stakeholder attitudes and behavior, and involves extemal, as weli as intemai, considerations, undertaking a strategic plan is a most appropriate vehicle for establishing the values and goals of COP. The plan was originally drafted in 1993 by a management team that inciuded the Chief, Deputy Chiefs, District Commanders and the Director of Research and Development. The Chief called together 50 managers for a two day retreat to gather their thoughts on COP. The plan was also shazed with block clubs and other community organizarions to get their feedback. The management team then incorporated the comments into the final version of the plan. It should be noted the team did not solicit the input of front-line officers, civilian employees, and representatives of other City departments. Participation by other City departments would have been particularly valuable because one of the tenets of COP is that coaununity policing is a City- wide responsibility, not just limited to the Police Department. For COP to be successful, the Police Depariment must build relationships with other departments to receive their assistance in improving public safety. Having other key City Departments, such as the City Attorney's Office and the Parks and Recreation Division, participate in the strategic planning process would improve its chances for success. Nevertheless, the Strategic Plan which resulted from this process is comprehensive and includes many attributes one expects in an effecfive pian. The plan is organized azound four quesrions: "Where is the SPPD now? Where does it want to go? How will it get there? How is SPPD doing?" The plan incorporates the DepartmenYs mission statement which was written prior to the planning process. It considers future employee requirements, cirizen and stakeholder expectarions, community partnerships, and technological and capital needs. T4ie plan was updated in 1996 by the same management team that authored the original plan. As part of the update, the Cluef and an outside consultant conducted two sessions on two sepazate days with Deparhnent managers. The feedback provided by the managers was used to revise the plan. The update left most of the original plan intact and added a five year capital improvements plan. The updated plan was communicated to sworn officers at roll calls and to civilian employees through their supervisors. While the Strategic Plan includes a section about evaluating its implementarion, it states that no model is available to undertake a formal evaluation of COP. Instead of a formal evaluarion, the Depamnent has attempted to measure COP's success through a series of annual, subjecrive $ Cowles, Catherine. The Dwelopment of Communiry Policing in Sainr Paut, Minnesata. Cambridge, Mq: John F. Kennedy School of Govemment, Harvazd University, p. 37. 27 assessments. Assessments of the 1993 Strategic Plan goais aze inciuded in the appendix of the 1996 update. In our interviews, senior management reported that these assessmeats have not continued since the 1996 update. However, the Department has worked with Hamline University Graduate School to develop an evaluarion model that will be applied to one aspect of the SYrategic Plan, the Neighborhood Service Area program. The evaluations have been completed but the results will not be released unrii the summer of 2000. In our interviews, the lack of evalvation of COP did not appeaz to be a concern for management team members. One stated tfiat Police Officers meet regularly with block clubs and that the community keeps the Department awaze of how well it's doing with COP. Therefore, there really is not any need to do formal evaluations. Moreover, it was mentioned that very little money is allocated within the Department for serious evaluation activities. Since 1996 there has been no effort to update the Strategic Plan. One member of the management team reported there is no need to change the plan because "it's a good one." Furthermore, this senior leader also stated the Department is more concemed about the daily operations of the Department and `Ssn't thinking in a strategic mode" at the moment. Adion Plans The Police Department creates numerous issue-specific plans, or action plans, to address both intemal and extemal issues. Many of these plans aze developed because of needs idenrified by the Department, but others are developed because of direcrives from the Mayor and City Counci2.' Identified below are the significaat acrion plans identified by senior leaders that have been developed since 1992. ❑ Y2K Preparedness Plan ❑ Neighborhood Service Area Plan ❑ Information Services Plan for Transition to Paperless Office ❑ A Community Outreach Program (ACOP) Plan ❑ Plan for the Consolidation of Police and Fire Emergency Communications Center ❑ Bio-hazazd Prepazedness Plan After a planning issue is identified, the Police Chief appoints a chair and responsible staff to 9 An e�cample of action plan instigated by the Mayor and City Council would be t6e plan to consolidate the Police and Fire Emergrncy Communication Centers. � . , � aa �S� ° serve on a planning committee. Committees will often include sworn and civilian employees, other City staff from outside the Department, law enforcement representatives from other jurisdictions, and citizens. When compieted, action plans are communicated to affected staff through memos. The pians aze upciated on an as needed basis. Some acrion plans that involve efforts wlrich are funded by grants, such as ACOP, aze required to have evaluations by the funding organizarions. Otherwise, the Department does not evaluate the success of action plans. In the words of one member of the Administrarive Team, "If the plan is carried out and the right outcome is achieved then it is considered a success." The primary measwement for success in the Police Department was reported to be whether crime rates aze decreasing in the City and whether the Deparkment is receiving complaints from the public. Budget Activity Performance Plans Each yeaz for the annual City Budget, departments aze required to submit an Activity Performance Plan. In effort to update their acrivity plans to reflect their current Strategic Plan, the Police Department attempted to revise all of its acrivity performance measures. This was a Department-wide effort which took over six weeks and involved 25 employees. After submitting its 2000 Budget with the revised performance measures, the Office of Financial Services told the Department that it did not have the staff or the resources to review the new measures. 1'herefore, they were not included in the 2000 Budget and the previous year's performance measures were used instead. Conclusions The Police Department has undertaken some admirable planning efforts. Especially commendable are its efforts to revise the budget performance measures. However, the Strategic Plan has not been updated in four years and there aze no plans cunently to do so. It would be a serious waste of previous effort to allow this very good plan to become obsolete. Despite the suggestion to the contrary by some senior leaders, all organizations should always think and pian strategically. This is especially true for organizations which operate in the field of public safety. Evaluation of the implementation and results of pians is a particulazly weak aspect of the Department's efforts. With the exception of the effort by Hamline University to assess the effectiveness of Neighborhood Service Areas, the Department has done little to evaluate the effectiveness of its Strategic Plan. The subjective assessments of COP, proposed in the 1996 Strategic Plan, have been discontinued While the Department claims no formal method exists for the overail assessment of COP, it has the ability to evaluate certain aspects of the COP pian with tools such as citizen or employee surveys. This is currently not being done. Moreover, the Department appears to collect only small amounts of data on the effectiveness of any of the Department's plans at anything lower than the patrol district level. This is a major impediment to determining whether community policing is succeeding at the neighborhood level. 29 Recommendations Recommendation 10: The Department should undertake an e„�'ort to revise their current Strategic Plan. This e, fJ`'ort should include senior leaders, supervisors, rank-and file employees, representatives from other relwant City deparhnents and community stakeholders. The update should incorporate new methods for evaluating the success ofCOP. The revised plan should be communicated to staff and integrated ar a central element in the police academy training program. Recominendationll: The Department should continue it's effort to revise its budget performance plan measures and resubmit new measures for inclusion in the 2001 budget. Recommendation 12: The OJfice of Financial Services should work closely with the Police Deparhnent, and a71 other deparhnents interested in revising their budget performance measures, to ensure that new measures can be included in next year's budget. This assistance should assure that City deparhnents are able to maintain and improve the budget performance measures. EMPLOYEE INVOLVEMENT How senior leaders involve employees in decision-making, solicit employee opinions, encourage employees to be innovative and use good employee ideas were azeas of serious concern for Gantz-Wiley respondents. These issues, grouped under the theme of employee involvement, received the most unfavorable responses of any category in the survey. Oniy nineteen percent of all respondents gave a favorable response when asked if the Deparnnent encouraged employees to participate in decisions which affected their work. 7ust 15 percent of survey participants answered favorably about whether senior leaders made a sufficient effort to $et the opinions of people in the Department. With the exception of the police administration employees, Downtown patrol officers and the FORCE unit members, no work group in the Department had more than 20 percent of respondents answer favorably to the questions in this theme. Research Methods To exaznine the effecriveness of senior management's ability to encourage empioyee involvement, we examined the level of development of organizarional processes. To do this we conducted interviews with senior managers to identify mechanisms and practices that involve employees in decisions made about the Department. We aiso examined any documents which pertained to cuirent and past practices to involve empIoyees. The analysis done in this part of the study is similaz to that used in the Staff Recognition and 30 . ,. f30 —S`jb Senior Management-Vision and Planning sec6ons. We compared the data coilected with the processes used in higlily effective organizations. Where deficiencies in these processes and activities aze identified, we make recommendations to correct or reduce problems. These recommendarions aze included at the end of this section. Em�loyee Involvement in High-performing Organizations A primary characteristic of high performing organizarion is that senior leaders encourage employee involvement in decisions made about the organizarion's operarions. Employee involvement also assists senior leaders in idenrifying work pracrices which aze tailored to employees with diverse work place and home life needs. In addition, employees and supervisors must also be involved in the development, design and evaluation of education and training opportunities. These individuals are best able to idenrify critical needs and evaluate success. In general, employee invoivement in area of human resources should improve employee knowledge, crearivity and morivation. Findin�s Senior leaders reported that, as a paza-military arganization, the primary mechanism for employee involvement in the Police Department was communication through the chain of command. Typically, front-line employees express their ideas or concerns to their immediate supervisors, who in turn relay them to command level staff. Commanders then share this informarion with the senior leaders at regular meetings of the Administrative Team. Other mechanisms, however, do exist to solicit employee feedback and involvement. These efforts are detailed below. Chiej's Open-door Meetings Once a week the Chief conducts "open-door" meetings with any staff inembers interested in meeting with him. The meetings take piace at a predetermined rime and the Chief is usually available for up to an hour and half. Because no one is twned away, the sessions sometimes take two or three hours if lazge number of people show up or if individual meetings take a particulazly long period of time. Interview respondents reported that these sessions are weil urilized by staff. Wednesday Commander Meetings Each Wednesday the Chief ineets with the Depamnent's Commanders and other senior staff. It 31 , .. is at these meetings that Commanders provide the Ciuef with employee feedback fhat has come up through the chain of command. In addition, any employee, regardless of rank, may make a presentation at this mee6ng about a new innovation or idea for the Department. The motorcycles unit, bike and horse patrol were atl ideas which were created as a result of front-line staffpresentations at the weekly Commanders' Meeting. Survey af Employee Training and Development Needs The Department surveys stafF'each year to determine iraining needs. Unit supervisors col[ect training requests from &ont-line staff and the senior management teaxn prioritizes them. The Chief reviews the priorities and decides, based on tfie year's budget, wluch opportunities wiIl be offered. Although, this has been a regular practice during the current Chief's tenure, there have been several yeazs wfien it was not done because tfie Department lacked funds to provide a wide azray of training opportuniries. Other Employee Involvement fictivities The Chief soliciYs the opinions of Commanders and supervisors before maldng employee assignments to their units. The Chief ineets montlily with the Police Federation at the stewazds meeting to discuss labor-management issues. Finally, the Department occasionaily contracts with the Office of Human Resources or outside private consultants to do management studies. These studies are undertaken primarily in reaction to probiems that have been idenrified by Department leaders. Conclusions When compared to other high-performing organizarions, the Potice DepartmenYs processes for empioyee involvement aze less than adequate. While the Department provides access to senior leaders through the Chiefs open-door meetings and the Commanders' meetings, very few of theu activities pro-actively solicit employee opinions or innovations. There is a significant difference between providing staff with access to seaior leaders aad creating a culture in which employees feel encouraged to share opinions and ideas for impmvements. The DepartmenYs use of consultartts to assess employee attitudes typically is not pro-active. Notable exceptions to this reactionary approach are the Chief's participation in the steward's meetings and the DepartmenYs effort to survey staff training needs. These are excellent practices. �� It should be noted that in an interview Council Research was informed of at least one instance where this was not done. 32 � � �� J (� Recommendarions Recommendation 13: The DepaHment should pursue the development of a pro-active system to -- assess employee well-being, and identify. employee innovations and concerns. In developing this system, senior leaders should seek the input of a large cross-section of employees and the representatives of the Department's bargaining units. A component of this ef� j'ort could include a periodic employee survey. 33 Appendix Interview Protocol for SPPD Senior Management regarding Employee Involvement, Planning, Vision, and Recogaition Issaes Revised 3-29-00 Employee Invoivement How do senior leaders in Police Department use employee feedback to improve their management of the Deparhnent? Z. How does the Police Deparkment use input from atl employees on education and training needs? How do senior leaders determine employee well-being and satisfaction? What methods are used? Planning 1_ What kinds of plans does the Police Department produce? 2. What is your strategic planning process? What aze the key steps in the process and who aze the key participants? 3. How does the Police Department consider the following key factors in its strategic planning process? How is information on these factors gathered? a. Cirizen needs and expectations b. Human resource capabilities c. Availability of other resources 4. How is the Police DepartmenYs strategic plan communicated to staff and implemented? 5. How often is the strategic plan reviewed and updated? How are updates done? 6. Do action plans (plans for specific tasks) exist? If so, what action plans have been made ? 7. How aze action plans developed? 8. Who is involved in the development of action plans? c � �� �J � 9. How often aze action plans updated? 10. What are the key performance measures or indicators used for tracking the resuits of the plans? How is monitoring of the plans done? Are there any other efforts to evaluate whether plans have been successful? Vision 1. How do senior leaders communicate and deploy organizarional values in the Police Department? 2. How do senior leaders set direction and seek future opportunities for the Police Department? Recognition Process l. What formal employee awards exist in the Police Department? 2. How is the formal awards process tailored to the needs of different categories and types of employees? 3. What is the process for submitting an employee's name for an award? 4. What is the process for determining who receives each award? What are the key steps in the process? 5. Who are the key participants? 6. Does criteria exist for each awazd? (If so, could I get copies of the criteria?) How are Police Department staff informed about the awards process and awazd criteria? 8. What benefits are associated with formal recognition besides the award itseif, such as cash (merit pay), vacation time, etc? 9. How does the awards process reinforce employee well-being, satisfaction and iugh performance in the arganization? �� . � ' � � C u 3 �iG�4p T&E S14INT PAITL POLICE DEPA1tTMENT A VISIONFOR TSE ZI'T CENI'URY It s 9:30 on a Wednesday night, and a Zone visitor is leaving the RiverCentre after a 12-hoza day at a trade show. As she walks to her doxmtown 3zotel, she looks into coffee shops fzlled with animated customers, and nearing: Wabasha and 5�; she nodr to the mounted police officer about to end his sh� Flalf an hozv later, this same businesswoman is on the street again, this time for a quick run by the river...it's her reward at the end ofa successful day. fllthaugh alert and aware, this visitor to Saint Paul is not a, fraid to venture into the evening. Even in her native country — Iza1f way around the globe — she 's heard that the streeis ofSaint Paul are some of the safest in the natior for arry woman, man or child. ?'his picture of Saint Paul in the 21n ceatury is one of economic vitality, friendliness and safety. The Saiat Paai Potice Departrnent ptays a critical role in creating this snapshot of a city that attracts — and retains —heaithy families, successfuI businesses, invested workers and interesting individ�. I envision a police department that continues to capitalize on its strengths, and evolves to meet the ��g �mands of a very dynamic city. Our officers will continue to protect the peace and enfiaace pubIic safeiy in every comer of the city using an ever-increysing rnnge of capabilities and technologies. Training for officers will prepaze them for �Y oPPa�ties to: • restore catm to emotionally-chaz�ed and dangerous situarions; • communicate regulaziy with businesses and with increasingly divezse citizens to get ahead ofproblems; • detect and remove the drugs and guns criminals attempt to bring into the metro azea; • deliver the right message to aud develop relarionsbips with school-age chifdren; and • direct tourists who aze unfamiliar with our s�eeis and values. Each squad caz wiii be equipped with tfie on-board electronics necessary to acceIerate investigations and aaests on the stree� Officers will easily check criminal tristory, match fin�erprints, and write reports &om their cars. Advanced comguter and communication technology will ailow information to be quickiy shared across the depamaent aBd with other a;encies. Our partnerships with citizens, businesses and service a�encies of this city wiil deepen because of our comtnitrnent to be reIIective of and responsive to the city we serve. The diversity on the force — in gender, race, and culture — wili become o eater. we will pursue coUaborations amon� the private and pubtic sectors even more ag�essively. We e:cpect to work across jurisdictions to meeL common �oals. The fomiation of the State Gan� Shike Force is a W � Y �b-S 7 � current example. Additionally, severai projects now bring ihe Saint Patil Police Departrnent togettier with schools, universities, youth organizations, block clubs, state-wide criaie task forces and private basiness. The DepartmeIIt will work to facilitate these collaboraIIVe effarts becaiise they allow us couple the abuadant talents of our officezs and citizens with scarce resources to achieve lon� term resuIts. 2�e Saint Paui Police Department continues to enjoy a positive reputation in the state, and across the coun�y because in the last s�c ye� we focused on training civiiian and swom staff,• investino in t�oioBY� and strengthenin, our parmerships with communities. We are respected for the work pezformed on the s�eet, as well as for the supporave culture fostered wittun the depamneni. There aze azeas which we can improve and we have the wi11 and commitment to do so. I believe the Saint Paul Police Departrnent will serve this city weil3n the next cenhuy because our past and current efforts aze grounded upon strongly held principies: ' We adhere to strong core values of inte2ritc�, compassion, and :especi as we work together toward a common vision oi safe communi�ies: • We aze eood stewazds ef ihe city's resources; taxpayer dollars and funding from �ants aze invested in u�ainin� our ofFicers to be creative and probtem-solving and in furcher developin� technolo�y; • We al�vays look for opportunities to facilitate murizl(y -e^.. =,.:� -;. with other city departments, law enforcement ageacies, and ;he com, • We w thoe�h*,�lly and evaluate ourselves to make sure our work increases public safer✓ w;,iie decreasing cr:minal activity. I envision Saint Paut in the 21n century as a vibrant city attracfive to resident and visitor alike-- a city in which our officers and other public employees aze proud to work and reside. Our core values aze sound and wiI1 carry us into the new century. With the firm support of our city governmeni and citizens, we will enihusiastically do our part to make this vision real. The departrnent exists to professionaIly and energeticalIy serve the community without reaazd to a Person's gender, race, culture or address. We aze and will continue to be the police department of the peopie. The Saint Pauf Police Deparfinent A Vision for t/re 21�` Cer:tury CliiejWilliam K. Finney 10 �Ylardt 7993