Stephen J. Connolly  

                                         Executive Director                                                                    

OFFICE OF INDEPENDENT REVIEW:  An Introduction  

  I.          Creation of OIR 

The Office of Independent Review (“OIR”) was established by a County Ordinance that the Board of Supervisors passed in February of 2008.  The creation of OIR ended a process that had begun several months earlier, when the Board began to explore the possibility of bringing formal civilian oversight to the Sheriff’s Department. A working group with representatives from several County entities had recommended the adoption of the OIR model, which has been operating in Los Angeles County since 2001.  As articulated in the Ordinance, the mission of OIR is to “monitor, assist, oversee and advise” the Orange County Sheriff -Coroner Department (“OCSD”) in its handling of critical incidents and allegations of employee misconduct. 

Once the Office had been formally created, the County engaged in a selection process for an “Executive Director” to lead OIR.  That process culminated with the approval of an “Agreement for Special Legal Services” between the County and Stephen J. Connolly, executed on August 5, 2008 with a commencement date of September 1, 2008.

The OIR model of civilian oversight has several core principles:

• Integration into law enforcement’s own review process:  Rather than creating a parallel or competing mechanism for addressing critical incidents and allegations of misconduct, OIR brings an outside perspective to the OCSD’s existing protocols.  It recognizes that law enforcement is, in many ways, best situated to address these situations, not only because of its resources and expertise, but because it must take managerial responsibility for its findings and decisions.  At the same time, inclusion of an independent, outside perspective is meant to strengthen these processes and enhance public confidence in their legitimacy.

• Full-time commitment of oversight personnel:   This ensures the level of involvement needed to maintain productive relationships, stay apprised of relevant developments (both internal and external to OCSD), make informed assessments regarding individual cases and OCSD practices, and ensure appropriate follow through.

• Access:  The attorney-client relationship between OIR lawyers and both the County and OCSD allows OIR lawyers and personnel to have access to investigation files, records and meetings while maintaining the confidentiality of those materials.  OIR personnel respond in person to critical incidents, consult regularly with OCSD decision-makers, and have the unfettered ability to review OCSD operations.   (The cooperation of OCSD is obviously critical in this regard, and has been forthcoming.)

• Independence:  The Executive Director and other professional staff members of OIR (no more than two (2) staff attorneys and an “investigations analyst”) are independent contractors.  They are not employees of the County or part of the OCSD chain of command.  This helps OIR maintain appropriate “arm’s length” relationships and objectivity in its assessments and recommendations, and increases public confidence accordingly.

• Transparency:   OIR serves as a conduit between the public and OCSD. It seeks to represent the public’s interest and perspectives when monitoring individual cases or promoting reforms, and to provide explanation and insight to the public concerning the Department’s actions.  Reporting about the Department’s handling of critical incidents, allegations of misconduct, and reform initiatives is an important dimension of OIR’s responsibilities.

The core features of the OIR Model shape both the operational philosophy and the concrete tasks that the Office undertakes.  As set forth in the founding County Ordinance, OIR has various specific duties.  These can be grouped into four categories:

The fundamental responsibility of OIR is to ensure that the OCSD response to allegations of officer misconduct is thorough, fair, and effective.  OIR takes a “start to finish” approach to new complaint cases.

OIR reviews the Department’s initial routing of the complaint, and then follows the investigation process for those allegations that are substantive enough to warrant a formal administrative case.  It meets with and advises investigators as cases are being handled, it reviews cases for completeness, and it makes recommendations to OCSD decision-makers as to final outcomes.  The handling OIR attorney works to achieve consensus with OCSD regarding the resolution of each case.

While OIR does not seek to substitute its judgment for that of OCSD, it does try to ensure that its perspective is understood, and that the Department’s decision is reasonable and appropriate for the circumstances.  OIR’s protocol with the Department provides for it to “go up the chain of command” as needed in presenting its viewpoint about a particular matter.  At times, this may involve appealing to the Sheriff herself.  While OIR has no structural authority to compel a particular result, it can share its impressions of the Department’s actions with the Board, the media, and the public, and can do so from a position of detailed knowledge. 

Once a decision is made, OIR monitors the final stages of the process, including the imposition of discipline, the grievance or appellate proceedings, and any changes to the outcome of the case that may result.  The goal is to ensure the legitimacy of the process and the integrity of the ultimate resolution, even if a modification does occur.

Apart from misconduct cases, OIR also reviews a range of critical incidents.  These include force cases involving serious injury to the suspect, deputy-involved shootings, in-custody deaths, and K-9 bite cases.  These events are inherently important from a risk management perspective and/or as exercises of police power.  Accordingly, they warrant careful, holistic scrutiny by OCSD.

OIR personnel receive notification of these critical incidents and they immediately “roll-out” to the scene of many of them.  This provides a first-hand perspective and facilitates assessment of the Department’s response at a critical phase of the review process.  OIR then tracks the progress of any resulting investigations, and works to promote a holistic response by OCSD in terms of accountability, training, tactics, and policy considerations.

Along with the active monitoring of individual cases, OIR also consults with the Department on issues of potential reform.  Many of these systemic issues arise in the context of specific incidents.  OIR works with OCSD to identify, design, and implement measures to address gaps in policy or training or respond to new concerns.

OIR is also a resource to the Department on legal issues relating to administrative investigations and other potential concerns.  OIR offers training to Department members regarding investigations and attempts to bring the public’s viewpoint into internal assessments.

OIR could also provide assistance to other Orange County law enforcement entities on an individual project basis.  Though these short-term services would be structured as additional work for OIR personnel, beyond and not in place of their full-time contractual obligations, such arrangements could be a useful and practical means of bringing oversight to smaller entities within the County.

OIR coordinates with various public and private groups outside the Department to ensure that relevant issues are identified and addressed, and that available information is disseminated appropriately in both directions.  These entities include key groups within County government (Board of Supervisors, County Counsel, District Attorney, County Executive Office, Human Resources, Human Relations Commission), employee unions, relevant federal agencies, and various community-based groups and individuals.

OIR is available as an intake mechanism for private individuals who have a concern or complaint about OCSD.  OIR provides information and guidance to the public regarding Departmental processes and procedures, and monitors all cases that are ultimately referred to the Department for further actions.

Per the terms of his contract, the Executive Director provides quarterly status reports to the Board of Supervisors “on all investigations and significant matters within the purview of OIR.”  Additionally, OIR anticipates providing written reports to the Board to address the outcome of individual matters relating to the OIR oversight responsibilities.  Some of these reports may be confidential and protected by the attorney-client privilege; in other instances, the Board may choose to release the reports in a manner consistent with state law and the privacy rights of involved parties.

OIR intends to communicate with the public in variety of ways, including participation in public forums, direct correspondence with individual members of the public, and published reports.  The OIR web site will provide information to the public about Departmental systems, including the discipline process.

Again, any mention of specific matters must follow the restrictions and privacy protections articulated in the Peace Officers Procedural Bill of Rights (California Government Code Sections 3300 et seq.) and other relevant statutes.  However, without betraying the identity of individual officers, meaningful public reporting about the circumstances and outcomes of complaints, allegations, and critical incidents can occur.  Ideally, this reporting will promote increased understanding and public confidence in the relevant systems themselves.

Stephen J. Connolly is a 2000 graduate of Loyola Law School.  He was hired in 2001 as one of the original six attorneys for the Los Angeles County Office of Independent Review.  Apart from his full-time responsibilities as a monitor for the Los Angeles County Sheriff’s Department, Connolly and his colleagues also worked with a number of other law enforcement agencies.  These include the California Department of Corrections and Rehabilitation, the City of Oakland Police Department, the San Diego County Sheriff’s Department, and others.  He has reviewed hundreds of misconduct investigations and critical incidents, and has consulted with various departments on issues of policy reform. 

The Executive Director has the authority and budget to hire additional personnel to assist him in carrying out the responsibilities of OIR.  Like the Executive Director, these persons will receive only a salary, and no benefits; their appointment and contracts are subject to Board approval.

At this point, the Executive Director anticipates adding two full-time staff members to OIR:

“Investigations Analyst.”  The Investigations Analyst will be an individual with law enforcement experience and an extensive background in criminal justice issues and the mechanics of investigations.  This person will be available for roll-out duty and will play a variety of roles in addressing the OCSD intake and handling of misconduct complaints.  Working as an agent of the Office and protected by the relevant attorney-client privileges, the Investigations Analyst will enhance the credibility and effectiveness of OIR involvement in the Department’s investigation process.  He or she will work closely with handling attorneys as each case unfolds.

“Staff Attorney”:  The Staff Attorney will directly assist the Executive Director in carrying out all relevant functions of the Office.  He or she will have experience with law enforcement issues, review of investigations, preparation of reports, and interaction with a range of government officials and private citizens.  This person will be available for roll-out duty and will assume a significant portion of the remaining workload for the Office, acting under the supervision of the Executive Director.

The unique features of the OIR Model have helped it to make a positive contribution to various law enforcement agencies since 2001.  The goal of the Orange County OIR is to enhance the work of the Sheriff’s Department through the addition of a collaborative but independent oversight presence.