In law enforcement, unforeseen issues can have severe consequences, particularly when they publicly expose internal vulnerabilities. While most departments routinely assess their fleet, infrastructure, budget and staffing, critical problems often remain undetected until they escalate into serious incidents. These unexpected events can trigger negative media coverage, damage public trust and even result in federal intervention.
Consider these real-world examples:
- A local reporter recently asked me about a police department’s memorandum requiring employees to disclose possession of DMV handicapped placards. This seemingly minor issue highlighted multiple potential underlying problems, such as officers potentially needing agency support, facing duty restrictions, or even requiring medication that could impair judgment and decision-making. The department’s lack of awareness underscored the need for better internal oversight. Clearly, it came as a surprise to department leaders who were unaware that some of their officers were using handicap placards on their personal vehicles.
- A county sheriff was shocked to discover that 10% of his deputies had failed the psychological testing component of the hiring process — some even after two years on the force. This lapse in due diligence created a significant liability for the department.
- One agency discovered at a public meeting that their new software, intended to track domestic violence cases, had deleted 10,000 cases from the database. This catastrophic data loss severely hampered their ability to protect victims and hold offenders accountable. It also created suspicion from the community that other issues of similar consequence could be lurking as well.
- Another agency discovered hundreds of backlogged rape kits, delaying justice for victims and potentially allowing dangerous criminals to remain free. Again, the erosion of public trust was affected due to this revelation.
- An officer involved in an on-duty collision in a marked unit was discovered to be driving with a suspended license due to an off-duty DUI that occurred several months prior. This incident exposed a serious failure in internal monitoring and risk management.
These examples illustrate the critical need for regular, comprehensive internal audits. Whether you are a chief, sheriff, mid-level commander or sergeant of a specialized unit, audits and assessments are essential to ensure your agency is operating effectively, ethically and within legal boundaries.
The proactive power of audits
Internal audits are not merely about finding fault; they are about proactively identifying areas for improvement and preventing future problems. They offer a chance to address potential issues before they become public scandals or lead to costly litigation. Think of it as preventative maintenance for your department.
Consequences of neglecting audits
The consequences of neglecting internal audits can be severe:
- Erosion of public trust: When problems surface without internal detection, the public often perceives a lack of transparency and accountability, damaging the vital relationship between the police and the community.
- Increased scrutiny: Departments that fail to self-regulate invite increased scrutiny from oversight bodies, media and even the Department of Justice.
- Legal liabilities: Undetected policy violations or misconduct can lead to lawsuits, settlements and significant financial burdens.
- Damage to reputation: Negative publicity surrounding internal failures can tarnish a department’s reputation, making it harder to recruit qualified officers and build community partnerships.
- Decreased officer morale: A culture of neglect can undermine officer morale and lead to a sense of distrust within the department.
The benefits of proactive audits
Conversely, well-conducted internal audits offer numerous benefits:
- Identify areas for improvement: Audits can pinpoint weaknesses in policies, procedures, training and supervision, allowing for targeted interventions.
- Enhance transparency and accountability: Demonstrating a commitment to internal review builds public trust and fosters a culture of accountability within the department.
- Reduce risk and liability: By identifying and addressing potential problems early, audits can minimize the risk of lawsuits, misconduct and other costly incidents.
- Improve officer training and performance: Audits can reveal training gaps and inform the development of more effective training programs.
- Demonstrate a commitment to best practices: Regular audits demonstrate a commitment to professional standards and best practices, which can be valuable in accreditation processes and community relations.
Conducting effective audits
- Independent review: Although many agencies may have internal auditing processes, such as a Professional Standards Unit, an outside view may reveal issues not covered by the scope of an internal review. Whenever possible, audits should be conducted by an independent entity, such as a consultant, state POST agency, or credentialing agency like CALEA. This ensures objectivity and reduces the potential for internal biases.
- Comprehensive scope: The scope of the audit should be comprehensive, covering all aspects of the department’s operations, including:
- Structure and command
- Staffing and supervision
- Policies and procedures
- Training programs
- Data and Performance Indicators (PI)
- o Budget and infrastructure o
- Legal compliance (including legislative changes)
- Data-driven analysis: Audits should rely on data and performance indicators to identify trends and patterns. This could include data on arrests, use-of-force incidents, citizen complaints and internal investigations.
- Personnel review: Audits should include a review of personnel files, performance evaluations, training records and any disciplinary actions. Early Warning Systems (EWS) or Performance Improvement Plans (PIP) should be reviewed — not punitively — but to identify unrecognized outstanding performance or performance that can be corrected with mentorship and training.
- Regularity: Audits should be conducted regularly, not just in response to a crisis. The frequency of audits will depend on the size and complexity of the department.
Call to action
Ideally, an audit should be conducted annually at minimum, but in order to be effective, they should be continuous and maintained rather than starting from scratch at the beginning of the year. Police leaders must embrace internal audits as a proactive tool for continuous improvement. Don’t wait for a “surprise” to expose your department’s vulnerabilities. Take the initiative to conduct thorough and independent audits, and use the findings to strengthen your organization, build public trust and ensure the highest standards of professionalism. Review your current audit procedures today and identify areas for enhancement. Your community, your officers and your own leadership depend on it.
| More from Jim Dudley: Download the Policing Matters podcast on Apple Podcasts, Amazon Music, Spotify or via RSS feed, and watch the video version on Police1’s YouTube channel.
