exhibit b - center for constitutional rights · case 1:08-cv-01034-sas -hbp document 137 filed...

Exhibit B

Case: 13-3088 Document: 339-4 Page: 1 11/25/2013 1101169 10

Case 1:08-cv-01034-SAS -HBP Document 137 Filed 02/24/11 Page 12 of 21

', ·

----·---·· ····-----·--·······- ···- ·· ··--········-----·-·-··----------------

From:

To:

Subject:

POLICE DEPARTMENT CITY OF NEW YORK

Deputy Commissioner, Strategic Initiatives

Chief of Department

QAD # 493·2, s.02

December 23, 2002

.INTRODUCTION OF SElF= INSPECTION WORKSHEETS #802·-"STOP, QUESTION AND FRISK RE.PoRT WORKSHEET" AND #802A ·"POLICE . I NITtA TED ENFORCE!WiENT"

1. In order to evaluate compliance With Operations Order #11s. 02, a two (2) part procedure is befng implemented Immediately. Tile. first part involves an examination,.

. by the Quality Assurance Division;_ C?f_ lnfC?fl!la~on .. r9P.Or:t~.by commands on Stop, Question · ' · ··-and Frisk Report Worksheets (PD344-151A). The Second part involves the monitoring by

command Integrity Control Officers of other police initiated enforcement and the Quality Assurance Division evaluating the dOcumentation of that monitoring. The procedure is detailed below;

2. Stop. question and Frisk Report Wort<!hH!!i In order to evaluate the. quality of Stop, Question and Frisk Report Worksheets a new self-inspection(#802) (see attached) ) has been created. The utilization of this worksheet will provide a means to evaluate if the Stop, Question and Frisk Report Worksheet has been property prepared and reviewed in accordance with Patrol Guide Procedure 212-11. The self7inspection will · examine the Stop, Question and Frisk lnc:;tex Coversheet (POJ44., 152) and twenty-fwe (25) Stop, Question and Frisk Reports to determine the following:

Confidential

a) That a photocopy is maintained in a binder at the desk, attaChed to the Index Coversheet) . . Captions on the Index Coversheet will also be

examined.

b) That precinct serial numbers are properly entered and photocopies are forwarded to precinct detective squads.

NYC 037890

., :I

..

i ,,


wongs

Rectangular Exhibit Stamp


; :

I;

c) That all applicable captions have been completed, with added emphasis placed on supervisor's review and captions documenting a

Level . Ill type of encounter ("Specify Felony/M~emeanor Suspected" and "What Were Circumstances Which lead To Stop")

d) That members of the service are making the required Activity Log entries, detailing the circumstances of the stop.

3. Police Initiated Enforcement; A second self-inspection (#802-A) {see attached) entitled "Police Initiated Enforcement" has been created. This self--inspection wilt be utilized in conjunction with the self-inspection entitled "Stop, Question and Frisk Report WOf1(sh$t, ·to evaluate compliance with the directives mandated in Operations Order 11s, 02. This Self-inspection must be performed by command Integrity Control Officers and/or Assistant Integrity Control Officers. It involves the reviewing of Arrest Reports resulting

·from self-initiated arrests where pollee initiated enforcement is likely, such as CPCS, CPW · and those arrests where PSNY is the complainant The Quality Assurance Division will evaluate the command's compfiance with this procedure. Command Integrity Control Officers and/or Assistant Integrity Control Officers will be required to do the following:

- · The last five (5) arrest reports for the month which result from setf..jnltiated arrests where PSNY Is the complainant, as stated above, will be reviewed and copies will be maint~ined In a folder for Q.A.O. evaluation. Any defiCiencies noted, including but not limited to, no Stop,· Question and Frisk Report prepared for astop situation pursuant to a Level llf type of encounter, will be

· documented on this worksheet

4. In order to satisfy the requirements outfined In Operations Order 11s.02 commands are mandated to complete both self--lnspections on a monthlY basiS:"·A ·Finest Message has been transmitted to inforin commands of this naw ma'"'dated procedure.

' . '

5. The attached worksheets should immediately be distributed to all affected commands to ensure. compliance.

' 6. For your attention.

MJF:PJC:JC:JPL:dr

Confidential NYC 037891

·-·- ----·-·---··----~ -------·--



: ~

:; '

r ~ '

.. ' {1212002) Page I of 3

COMMAND: _____ _ Worksheet fl lQl

SUBJECT: STOP. OUESDON AND FBISK &EPOBT WORJ<SHEET {PD 344=1!JA)

DATE(s) OF EVALUATION: ____ _ PERIOD EV ALUA TEO. ____ _ EVALUATED BY: ___ _ I

(Rank)

COMJ\1AND REVrEWlNG OFFICER: __ (Rank) Prin!ed Name/Signature

I

COMMAND RA TINOS: (Circle One) Superior GOod Needs Improvement l.oadequate I

REFERENCE: P.Q, 212-11, Street Encounte11- ~Issues (PD344-153)

The STOP, QUESTION AND FRISK REPORT WORKSHEET must be prepeted in EVERY STOP situation pumumt to a LEVEL W Type of Encounter u described in ac1ivity log' insert- Street Encounters- Legal Issue• (PD34+JS3). However, the STOP, QUESTION and FRISK REPORT WORKSHEET is not prepared where the officer makes a Sl.liDilWY arrest or issues a summons for an observed violation Ullless the suspect was initially stopped for investigation pUrsuant to a Level m Type of Encounter. Additionally, ACTIVITY LOO entries, dmlliDa tbe CircllllltUIDtet o(the stop, MUST al5o be prepared in all sucb encounters.

J.. Is a Stop, Question and Frjslt Report Worbbect Binder, with photocopies of the reports, maintained at the Desk. u per P.0.212·1 I? Yea___:. No

2. Does the binder also include tho required Stop, question and Frlslt Index Covcrsheet (PD344-152)? Yes · No ____ _

3. Select the last twenty-five (2S)Stop, Question~ frisk Report Woltsheets (PO 344--1 S JA) from the binder maintained at the Desk. i ·

. I .

4. Utilizing the Woltsheet- page 113, ascenain the (oliowing information relative to these re~m: :

(A) . . ~ . .

Are all tweuty-.five (25) reports listed apd applicable captions oompletcd on the Stop, Question and Frisk ladex Cover sheet includins but not limited to a properly assigned Preeinct Serial Number? lndlcate: Yes or No on worbbeet

(B) Are· all twenty-five (25) of the reports filed iJl the binder and numerically correct accordina to the serial number? lndic:at.d: Yes or No on worbbeet

(B- I) Has a photocopy been forwarded to the Precinct Detective Squad? Indicate: Yes or No on worksheet

(C) Ale all applicable captions completed on the Stop, Question and Frisk Report Worksheet (PD34+1 S I A)? lndicale: Yes or No on worlcsbeet ·

•• When answering Que3tioo (C) do noti include captions which are included in r Quesrion.s (C-1), (C-2), {C-3), (C-4) 8lld (D) indicated below. '

(C-1) Is the crime indicated in the caption "SPecify Fel~y/Misdemeaoor Suspected?" l.ndicate on worksheet: • Yc&IDoes MCei FiM SUJpCCtcd

• Yes/Does No{ Meet FIM Suspected No - If left blAnk

;

Note on worbbeet if the crime indicated in the "Specify Fflooy 1 . Mbdemeaoer Suspeded" capnon (does meet) or (does not meet) the requirement for a Level m Type of Encounter, as described in Activity Log lnsen Street Encounters- Legall.ss~ {PD344-153). That rtquirement mandates that the crime ruspectcd must be a felony or Peaal La~ misdemunor.

NYC 037892 I Confidenti~ '

-----------------------·

,, .-.

. i

i . ~



l-(

- -- --- -· -.. ·· --·· · ·--···

(I 2/2002) Page 2 of3

(con't) f# w..:_ STOP. QUESTION AND fRISK BEPORI WORKSHEET (PD Ji+lSlA)

(C·2) Is atleut ooe box c:bec:ked for Caption MWhat Were Circwnstanc~ %ich Lead To Stop" lndica1e: Yes or No on worksheet

(C-3) Is the caption "Was Person Frisked" accurately compleled? Co~piete . worluheet as follows:

Box "No" is ch«ked ·Since no additional boxes need to be checked, the caption is accUI'IItely completed, therefore· :~ Indicate Ye5 on worksheet.

Box "Yes" ia cheeked md DO other bcixes are checked • Since at least one additional box must be cbeded, the caption ia not accurately completed, therefore • Indicate No on worluheet.l ·

Neither "Yes" nor "No" boxes are che¢kcd • Indic:.te No on woruheet . . .

(C~) Ia the cape ion "Was Person Searcbcd" aecuntely .completed? Complete worksheet as follows:

Box "No" is checked • Since no additional boxes need to be cheeked, the caption is accurately completed, therefore • Indicate Yes on worksheet.

Box "Yes" is c:b«kcd and oo other boxes are checked • Since at least one additiOnal box must be checked, the caption is not IICCUI'81ely completed, therefore • Indicate No on woooheet.

Neither "Yes" nor "No'' boxes are cheeked,· Indicate No on worltsbeet

(D) Ate all captioDs Cor the Reviewing Supervisor (Name, Tax N, Co!lllliADd and Slsnature) completed? lhdic:at~: Yes or No on worksbeet

5. Utilizing the Worlcsli~ • page #3, select the la.tt five (5) Stop, Question and Frisk Reporu and indicate the Precinct Serial Numbers and the fiame of the n:porting offic:er below:

;

Prceinct Serial ~her ftmlalna Officg

Examine Reponing Officer's Activity Log and indicate on work3heet ifcoiTCSpOnding Activity Log Entries, detailfnc U.e clreuautaacq of the stop. were made ~latina to the Stop Question and Frisk Repon prepared? ·

lndic-'c : Yes or No on worksheet

Confidential

·l


Case 1

:08-c

v-0

1034-S

AS

-H

BP

D

ocum

ent 137 F

iled 0

2/2

4/1

1 P

age 1

6 o

f 21

Worksheet N 892

.. Aw wlr WB-1" Listed on Ccwer sheet Phococopy in P!lococ:opy

(Pf?J44-l S2) Biadet7 to~ioct

(Serial II Assigned. Serial I Detective and Applicable Correct, de:. Squad

Caplions completed)

I. 2. 3. 4. 5. 6. 7. 8.

I 9.

I I

·10: . II. 12. 13. 14. 15. 16. 17. 18. 19.

i 20.

I I

\

zt.• 22.• 23 .• 24. 0

25.• Totab

I

:-·:·

- -·- .,. . ---- - ~-- ·-- · --0.,.__......,. _____ - --·- ------ -- ~-------·· ... -. ... ,_ ... ... ....... .

Stoo. Oaesrioo aad Frgk Report Worksheet

"C" "C-1" "C-2" . "C-3~ "C-4" Are All Applicable Caption .. Specify What~tbe Was penon Was penon c.ptions Canpleud Which . Cireumstanccs Frisked? Seuched? (Exclude Ctpcions FelonyiMisdemeMor wflieh lead to the listed in Cohunns Suspected" Stop?

~I. C·l, C-3, C-4, .t D) .

... . ~ -. :- - -· ---····· -···.

'

·' : . ~- - ... :· . ·. : ~--~>·.:.:: · .~ - _,. ...

'"t)•

ReViewing Supervisof Capliolts

{Name. Taxi, Cornti'UIIId and Si~re)

- -----

"----*""' :nmltlftrrtrr®'P¥3

Paa;e J ofJ

Check. Com:spondint Ac:tivity Log ·entries ( *2 I through lt2S

only)

- .. . -- - - . ..

'

,

I

........ •

• ~ ..., <:> u ~

] c:

" 'tl ~ g u



-- ·· ·· ·· ···· ·· ···· · ... . ............ ...... ----------------·-·-- -- - . - . --

[Rev. 12120021 P191t 1 of 2

COMMAND: ____ ~-------------- WORKSHEET A02· A

SUBJECT: POLICE INmATED ENFORCEMENT

EVALUATED BY: '-----,--------{Rank) {Printed. Name 1 Signature)

DATE($) OF EVALl/ATION: PERIOD EVAI,.UATED: _________ _

COMMAND REVIEWING OFFICER: 1,...--.,.,..--.,----(Rank) (Printed Name/Signature)

COMMAND RATINGS: (Circle One) Superior Good Needs Improvement Inadequate

BEFERENCE.:. P.G. 212·11 and O~retiona Order 11aj' 02.

As indicated lri OptntJons Order #11 ,s. 02 • "AH pollee-Initiated enf9fe8ment actions, Including but not limited to arrest, stop and question, and motor vehicle stop, witt be based on the standards required by the Fourth Amendment of the U.S. Constitution or otf:ler applicable law. Officers must be able to articulate the factors which led them to take enfOf'Cemenhction, in particular those factors leading to reasom~ble suspicion fOI' a stop and question, or prtJbabfe cause for an arrest Officers are also reminded that the use of characteristics such as 1'81igloh, age, gendec', gender ~ntlty, or sexual orientation as the cletenninlng factor for ta!Qng police action Ia prohibited. • In conjunction 'l!lth Worksheet 1802 • ·stop, Question and Frisk Report,· this woruheet wil be prepared by COMMAND INTEGRITY CONTROL OFFICERS OR ASSIST ANT INTEGRITY CONTROl OFFICERS, to monitor compliance with the dlrectivet mandated In tJ:1e above Operations Order and Patrol Guide Procedure 212.11.

StcUon f 1 I MUST R PERFORMED BY COMMAND ICO OR ASS! STAHl !COl.

Reviewing of arrest reports from self4nltiated arrests (e.g. CPCS, CPW and those arrests where PSNY Is the complainant· on the Complaint Report)

!CO and/or Asai81ant ICO will review the last tlve (5) different arreat incidents for the month. Copies of all OLBS reviewed will be kept in a folder ~led month/year, for review by OAD penJOnnel. Indicate arrests reviewed below. Actiom taken by the 1.9.0JA.sslstant t.C.O. and any deficiencies noted, (including no Stop, Question and Frislc Report, wtlet'1 reqlired), will also be docUmented below.

; f (Yes/No) Date of Armlt Arrest Numbgr Amlltlng Offlcot · Too Charge De1lcitncy Noted

1)'----------------------------------~-------------~~---

5

Indicate below actions tal<en by ICOor Assistant I.C.O. and any deficiencies noted -IF NONE STATE SO: (Use rear of form if needed)

Confidential NYC 037895



-- ~- ·- - · --- · ----=-- -~ - - _, Rev. 12/2002)

tcon'tl ID2:t\ PQUCE !NIJWEO EHf96CEMENJ'

\ ' .

Sectlori # 2 ITO BE CQMPLETED BY Q.A.D. PERSONNEL DURING EVALUADONI

1) 1 s the ICC/Assistant teO completing aU parts of sectJ~ t1 of thiS report?

a) List any missing infonnatlOn in aectlon 11 :

2) IG the !CO/Assistant ICO dOCIJmentlng the review of five (5) OLBS reports per mon~?

a) If no, list the number docUmented far the month::.

3) Are copies of the OLBS reports reviewed, kept In 1 nipnthly folder? I

a) Lis{ any missing OLBS reports:

4) Ia a copy of sectio,-1 Included in the monthly folder? :

5) Are photocopies of Stop, Question and Frisk Reporta, when applicable, kept In the monthly folder?

6) Are instances where~ Is Indicated that-deficiencies were noted, and/or disciplinary action taken, Identified on !he Inspection?

Ust below any miscellaneous deficiencies noted during evaluation, not Indicated above:

Page 2 ol2

Confidential NYCOJ7896

1-

,,

.: ;

' ''i


From:

To:

Subject:

POLICE DEPARTMENT CITY OF NEW YORK

QAD # 493-27 s.02

December 11 , 2002

Commanding Officer, Quality AS$urance Division

Deputy Commissioner, Strategic Initiatives

INTRODUCTION OF SELF INSPECTION WORKSHEETS #802 -"STOP, QUESTION AND FRISK REPORT WORKSHEEr' AND #802A- "POLICE INITIATED ENFORCEMENT''

1. , In order to evaluate compliance with Operations Order #11s. 02, a two (2) part procedure is proposed. The first part_ involves an examination, by ~ Quality Assurance Division, of information reported by commands on Stop, Question and Frisk Report Worksheets (PD344-151A). The second part involves the monitoring by command Integrity Control Officers ofother police initiated enforcement andthe Quality Assurance Division evaluating the documentation of that monitoring, The procedure is detailed below.

2. Stop. Question and Frisk Report Worksheets: .. In order to evaluate the . · quality of Stop,' Question and FriskReP<>rt Worksheets a neW self;.inspection(#802) (see attached)) has been created. The utilization of this worksheet will provide a means to evaluate if the Stop, Question and Frisk Ref)ort Worksheet has been properly prepared and reviewed in accordance with Patrol Guide Procedure 212-1.1. The self-inspection will examine the· Stop, Question and Frisk Index Coversn~t (PD344-152) and fvlenty-five (25) Stop, Question and Frisk R~ports_ to determine the following~ .

--· :·- ... :-. - · :· . .... --· ' .. - .... ·.·· . . . :t .

Confidential

. - . . . . . . . . .

a) that a photocopy is m~intained in a binder at the desk, attached to the lnd~x C_oversheet). Captions on the Index Coversheet wm ·atso be . examined~

b) That precinct serial numbers are property entered and ·photocopies are forwarded to precinct detective squads.

NYC 037897


c) That all applicable captions have been completed, with added emphasis placed on supervisor's review and captions documenting a l evel til type of encounter ("Specify Felony/Misdemeanor Suspected" and "What Were Circumstances Which Lead To Stop")

d) That members of the service are making.the required. Activity log entries, detailing the circumstances of the stop.

3,. Police Initiated Enforcement: A second self-inspection (#802-A) (see attached) entitled "Police Initiated Enforcement" has been created; This self-inspection will be utilized in conjunction with the self-inspection entitled "Stop, Question and Frisk Report Worksheet," to evaluate compliance with the directives mandated in Operations Order 11 s,

· 02. This seff-inspection must be performed by command Integrity Control Officers and/or Assistant Integrity Control Officers. It involves the reviewing of Arrest Reports ·resulting from seff-initiated arrests where police initiated enforcement is likely, such as CPCS, CPW and those arrests where PSNY is the complainant. The Quality Assurance Division will evaluate the command's compliance with this procedure. Command Integrity Control Officers and/or Assistant Integrity Control Officers will be required to do the following:

- The last five (5) arre~t reports for the month which results from self-initiated . arrests where PSNY is the complainant, ·as stated above, will be. reviewed and copies will be maintained in a-fofderforQ.A.D. evafuation .. Anydeficiencies noted, including. but not limited to, no Stop, Question and Frisk Report prepared for a stop situation pursuant to a levei Ill type of encounter, will be documented on this worksheet.

4. In order to satisfy the requirements outlined in Operations Order 11 s.02 it is recommended that commands be mandate(j to ·complete both self-inspections· on a monthly basis. · ltis also recommended thatthe proposed Finest Message (attached) be· transmitted to inform commands of this new mandated procedure.

5. For your consideration.

·~

- ···· -- ·- - - - ---~- -------- -- --- - --- ------ ·- - - .... ·- -- ------- --- ------ --- ---- - · :-- ---- - - -~ · ··-·· r ------

PJC:JC:JPL:dr

.... ···-- ---···· -- ---- --- -------~----

···---- ----~--- -............ ____________ ,,

Confidential -2- NYC 037898 i i i

.. -- ··-- · ·· ~ .. . -· - . _./


exhibit b - center for constitutional rights · case 1:08-cv-01034-sas -hbp document 137 filed...

Documents