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THE UNIVERSITY OF TEXAS-PAN AMERICAN

OFFICE OF AUDITS & CONSULTING SERVICES

Police Department

Report No. 13-15

OFFICE OF INTERNAL AUDITS

THE UNIVERSITY OF TEXAS - PAN AMERICAN

1201 West University Drive • Edinburg, Texas 78539-2999 • Office (956) 665-2110

September 3, 2013

Dr. Robert S. Nelsen, President

The University of Texas-Pan American

1201 W. University Drive

Edinburg, TX 78539

Dear Dr. Nelsen,

As part of our fiscal year 2013 Audit Plan, we completed an operational audit of the Police

Department (PD). The objective of the audit was to verify the implementation status of the

PD’s action plan. Additionally, we evaluated the effectiveness of patrol operations staffing and

evaluated the appropriateness of expenditures. The scope of this audit scope included activity

for fiscal year 2012.

We performed audit procedures that included interviewing employees, reviewing supporting

documentation, and testing a sample of expenditures.

We concluded that the University of Texas – Pan American PD implemented the majority of

the action plan, patrol operations were minimally staffed, and expenses were properly

approved, allowable and appropriate. However, we identified opportunities for improvement.

The detailed report is attached for your review.

We appreciate the courtesy and cooperation received from management and staff during our

audit.

Sincerely,

Eloy R. Alaniz, Jr., CPA, CIA, CISA

Executive Director of Audits, Compliance & Consulting Services

The University of Texas – Pan American

Police Department

Operational Audit

Table of Contents

EXECUTIVE SUMMARY 1

BACKGROUND 2

AUDIT OBJECTIVE 3

AUDIT SCOPE AND METHODOLOGY 3

AUDIT RESULTS 3

CONCLUSION 7

APPENDIX A 8

The University of Texas - Pan American

Police Department

Operational Audit

1

EXECUTIVE SUMMARY

The University of Texas – Pan American Police Department (PD) protects and serves the campus

community of students, faculty, staff and visitors by providing professional law enforcement

services and actively promoting community involvement through progressive community policing

partnership strategies and a commitment to education.

In September of 2011, UTPA’s Human Resources Office conducted a climate assessment survey1

of PD and six (6) key areas of concern related to the workplace environment were identified. The

Vice President for Business Affairs requested that the UTPA Chief of Police (Chief) develop an

action plan addressing these key areas. Separately, the Office of the Director of Police for The

University of Texas System Administration (ODOP) conducted a review of PD’s work

environment in response to concerns listed in a complaint he received. In December of 2011, the

Chief developed an action plan which addressed the climate assessment survey and the results and

recommendations from the ODOP report.

The objective of the audit was to verify the implementation status of the PD’s action plan.

Additionally, we evaluated the effectiveness of patrol operations staffing and evaluated the

appropriateness of expenditures. Our scope encompassed activity for fiscal year (FY) 2012. The

audit was conducted in accordance with guidelines set forth in the University of Texas System’s

Policy 129 and the Institute of Internal Auditor’s International Standards for the Professional

Practice of Internal Auditing.

We noted the following during the course of the audit.

36 out of 42 (86%) action plan items were fully implemented. Many of the action items

not implemented were related to employee training completion rates.

20 out of 183 (11%) shifts did not have a ranked supervisor and an officer on duty at all

times. The Chief relied on acting supervisors or inexperienced officers to perform in a

supervisory capacity due to staffing shortages.

Overall, the University of Texas – Pan American Police Department implemented the majority of

the action plan; however, not all required trainings were completed. Although patrol operations

were minimally staffed with two (2) officers for all of the shifts, the Chief should address the

staffing shortage concerns to ensure the safety of the campus and patrol officers. We determined

that the PD’s expenses were properly approved, allowable and appropriate.

1 Climate assessment surveys are confidential interviews with relevant staff conducted by a third party to evaluate the workplace

environment and provide recommendations to address deficiencies, reduce conflicts, and improve the overall work environment.


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Operational Audit

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BACKGROUND

During FY 2012, the PD had 21 commissioned officer positions and 15 security guard positions.

The Chief was responsible for 11 project accounts with financial activity as follows:

Project Account Budget Encumbrances Actual Funds Available

100HRSV02 $55,583 $18 $47,761 $7,804

100PDPT00 $1,527,822 $0 $1,516,048 $11,774

160PDPT00 $0 $21,393 ($29,386) $7,993

370PDPT01 $1,037,996 $17,179 $1,020,637 $180

370PDPT02 $141,604 $71,089 $70,515 $0

370PDPT06 $71,128 $2,363 $68,765 $0

70PDPT000 $220 $208 $12 $0

81VPBA000 $1,063 $0 $0 $1,063

370PDPT04 $40,776 $18,292 $22,484 $0

370PDPT08 $71,986 $1,349 $70,637 $0

70PDPT000 $220 $208 $12 $0

Totals $2,948,398 $132,099 $2,787,485 $28,814

A staffing study was conducted by a UTPA Assistant Chief of Police based on a model by the

International Association of Campus Law Enforcement Administrators. The results of the study

indicated that UTPA was well below the recommended staffing of regular patrol units by 12. In

addition, the Assistant Chief of Police compared UTPA’s commissioned police officers staffing

levels with other similar institutions and the results indicated that these institutions averaged 30

commissioned police officers whereas UTPA has 21 positions.

In September of 2011, a climate assessment was conducted by the Human Resources Office on

the PD. The Chief established an action plan in December of 2011 to address areas of the

department where opportunities for improvements existed. The action plan included 42 action

items in 11 separate categories. These categories included the following:

1. Management/Command Staff Training

2. Cultural Sensitivity and Diversity Training

3. Fair Labor Standards, Timekeeping, and Avoiding Hostile Workplace Training

4. Review of Guardian Tracking System

5. Overtime Compensation

6. Mission One Program – supplementing/augmenting patrol staff

7. Improve Communication and Goal setting initiatives through department meetings

8. Monitoring K-9 Program

9. Address Work Shifts

10. Add Commissioned Officers

11. Prioritize Accreditation


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AUDIT OBJECTIVE

The objective of the audit was to verify the implementation status of the PD’s action plan.

Additionally, we evaluated the effectiveness of patrol operations staffing and evaluated the

appropriateness of expenditures.

AUDIT SCOPE & METHODOLOGY

To accomplish the audit objective, we performed the following procedures:

We interviewed the Chief, two (2) Assistant Chiefs, and other department personnel to

determine progress on implementation of the action plan.

We reviewed supporting documentation related to the Chief’s action plan.

We interviewed PD employees to obtain their input on the system of tracking employee

training goals and objectives.

We tested a sample of expenditures (e.g. operating, travel, and procurement cards) and

examined supporting documentation for appropriateness from the accounts with the most

activity.

Our scope included activity from fiscal year 2012, which included September 1, 2011 through

August 31, 2012. The audit was conducted in accordance with guidelines set forth in The

University of Texas System’s Policy UTS 129 – Internal Audit Activities and the Institute of

Internal Auditor’s’ International Standards for the Professional Practice of Internal Auditing.

The audit was conducted during the months of January through July 2013.

AUDIT RESULTS

Action Plan

We reviewed the action plan, interviewed department personnel, and obtained supporting

documentation in order to verify the action plan’s percentage of implementation. We did not

evaluate the effectiveness of the action plan on the workplace environment. We determined that

36 out of 42 (86%) action items were fully implemented. Many of the actions items not

implemented were related to employee training completion rates. We noted that the Mission One

Program action item of “patrol surges for one day each month” was suspended due to staffing

issues. See Appendix A – Action Plan Completion Status

We verified completion through training certificates and other means such as travel expenses and

sign-in sheets when certificates were not available for many of the training initiatives. PD uses a

performance and document management system named Guardian Tracking (GT). Upon

successfully completing training, employees, in many cases, are provided a certificate of

completion that is scanned as a pdf file and uploaded to GT. However, in reviewing the training

certificates uploaded to GT, we noticed that several employees’ certificates of completion were

missing. In the PD’s training completion rates, individuals were given credit for training taken

prior to the creation of the action plan. For instance, 41 employees completed the Leadership,


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Ethics and Team Building (LET) training course in July of 2010. As part of the action plan, the

Asst. Chief identified 11 employees to take the LET training course because it was thought that

these employees had not taken the course previously. However, we determined that two (2) of the

11 had already completed the course in 2010.

Recommendation:

1. Because of the benefits of the Mission One Program to PD, the Chief should consider

continuing this Program to provide greater visibility each month with patrol surges and

expand its patrol coverage by non-patrol commissioned personnel and non-patrol

public safety officers. Allowing these personnel to patrol would enhance patrol

coverage and allow patrol officers to utilize unused holiday time.

Management Response:

1. Agreed. We have continued to supplement patrol through Mission One by utilizing

administrative personnel and Detectives on patrol. In addition to frequently

supplementing patrol, for calendar year 2013 we are holding a total of four specific

Mission One Events (patrol surges).

Implementation Date:

Implemented

Recommendation:

2. The Chief should ensure that all employees’ complete their training and consider

refresher training. To maintain complete and accurate records of employee training,

the Chief should ensure that training certificates or other documents demonstrating

completion are uploaded to the Guardian Tracking System.


2. Agreed. Due to patrol staffing challenges the Professional Standards Unit was heavily

relied upon for covering patrol shifts. The unit went a lengthy period without the unit

supervisor and the training officer position, with former Assistant Chief covering for

many of these duties prior to his accepting a Chief of Police position within the Texas

A&M System. We are in the process of restoring staffing to the Professional

Standards Unit. A Sergeant was promoted to Lieutenant and now supervises this unit.

Additionally, an Officer has been hired as the new training officer and is currently

completing his orientation in the field training program. Upon completion of the field

training program he will be assigned half-time to training, and half-time to supplement

patrol. To assist with clerical duties and record keeping of training files and other

documentation, a part-time direct wage office assistant will be added to the unit. The


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Command Staff will rely on critical input from the Department’s training committee

meetings which are hosted or are in-house and will be scheduled each year.


October 1, 2013

Police Patrols

The Chief stated that staffing five (5) officers per patrol shift was appropriate for the size of the

campus. However, the current staffing does not allow this patrol coverage. Due to safety

concerns, the Chief established the practice of having a two (2) officer minimum, whereby a

higher ranking officer (e.g. Corporal, Sergeant, or Lieutenant) would be on duty as the officer in

charge along with a patrol officer.

We tested the months of September 2011 and January 2012 to verify that the police patrol

operations maintained one supervising officer and one patrol officer on duty for each shift. Each

day is comprised of three (3) eight (8) hour shifts. We tested 183 shifts and found that a two (2)

officer minimum was in place for all shifts; however, we found 20 instances or 11% of the time

where one (1) of the officers on duty was not a high ranking officer. As a result of staffing

shortages and to ensure that there was an officer in charge for the shift, the Chief had to rely on

acting supervisors or police officer IVs and IIIs. In many instances, these officers were

inexperienced to be in a supervisory capacity. We determined that the current patrol practice was

not sustainable given current staffing levels.

Recommendation:

3. For the safety of the campus and patrol officers, the Chief should ensure that

sustainable levels of officers are staffed for each patrol shift.


3. Agreed. As of July 1, 2013 we have ended the current use of Acting Sergeants and

Acting Lieutenants. We are currently utilizing Corporals as Shift Supervisors, and

are relying on Supervisors from other assignments and Police Officer III

(Advanced Peace Officers), and Police Officer IV (Master Peace Officers), to

provide shift coverage as the Officer-In-Charge (OIC) during the days the shift’s

supervisor is on days off, on leave, or attending training. Our goal is to evolve the

Department to staffing at least five officers per patrol shift, with one Sergeant as

the Shift Supervisor and a Corporal as the OIC in the absence of the Sergeant.

The ability to hire or promote Officers is also contingent upon officers being

eligible to take the annual promotional exam. Additional Officers are also needed

to adequately staff patrol, as was indicated in the Staffing Study submitted by


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Operational Audit

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former Assistant Chief. Current efforts are underway in cooperation with Vice

President of Business Affairs to address officer pay and staffing levels.


September 1, 2014

Expenses

Adequately established internal controls help to ensure that expenses are allowable and

appropriate. We tested a sample of transactions (i.e., procurement card, operating, and travel) and

examined supporting documentation for proper approval and verified whether the expenses were

reasonable.

Procurement Card

We selected all transactions greater than $100 resulting in 49 procurement card expenses, which

totaled 79% of the total dollar value of procurement card expenses. We tested those expenses for

the following attributes:

Cardholders completed the required training,

Purchases made by authorized cardholders,

Adequate documentation (i.e. itemized receipts, monthly transaction log, account

statement, etc.) maintained to substantiate purchases,

Purchases made in accordance with established guidelines,

Reconciliations performed on purchases within seven (7) days of the statement date.

All procurement card expenses were properly approved, reasonable and allowable. Additionally,

adequate segregation of duties existed and documentation was kept on file.

Operating Expenses

We judgmentally selected a sample of 33 operating transactions representing 27% of the total

dollar amount of operating expenses incurred during fiscal year 2012. We tested those expenses

for the following attributes:

Purchases properly approved,

Purchases appeared reasonable and allowable,

Adequate documentation maintained to substantiate purchases.

All operating expenses reviewed were properly approved, reasonable and allowable, and

supported with adequate documentation.


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Operational Audit

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Travel Expenses

We judgmentally selected a sample of eight (8) travel transactions representing 18% of the total

dollar amount of travel expenses incurred during fiscal year 2012. We tested those expenses for

the following attributes:

Travel approved by authorized project manager,

Travel appeared reasonable and allowable,

Adequate documentation maintained to substantiate trip.

All travel expenses reviewed were properly approved, reasonable and allowable, and supported

with adequate documentation.

CONCLUSION

Overall, the University of Texas – Pan American Police Department implemented the majority of

the action plan; however, not all required trainings were completed. Although patrol operations

were minimally staffed with two (2) officers for all of the shifts, the Chief should address the

staffing shortage concerns to ensure the safety of the campus and patrol officers. We determined

that the PD’s expenses were properly approved, allowable and appropriate.

Khalil Abdullah CIA, CGAP

Internal Auditor I


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Operational Audit

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Appendix A – Action Plan Completion Status

PercentageCompleted

1 Management/Command Staff will participate in management development traininga Advanced law enforcement command school program for all command staff. 100%b IACLEA Executive Development Institute for all command staff. 100%c UTPA HR Supervisor series training course for all supervisory personnel. 91%d Completion of one 40 hour law enforcement leadership program (FBI LEEDA) 100%

2 All supervisory personnel will receive training over cultural sensitivity and diversitya Cultural Diversity Training for all commissioned and civil ian supervisory personnel. 100%b Cultural Diversity Training for all personnel. 90%

3 Department-wide training that addresses provision of the FLSA, proper timekeeping& reporting, and how to avoid creating a hostile workplace

a Host FLSA overview course with law enforcement specific FLSA focus. 95%b Develop or host training course for proper timekeeping & reporting 95%c Host Leadership, Ethics, and Team building course for Dept. personnel. 90%d Schedule visit by CALEA mentor, Chief Paul Will ingham, CALEA process 97%e Host a Community Oriented Policing Course for Department Personnel 100%

Campus Partners In-Service Training Course for at least patrol personnel which includes: UTPA Counseling Services, UTPA Judicial Affairs, UTPAResidence Life, and DEHS.Have clear guidelines as to which duties or assignments qualify for overtimepay versus compensatory time. Revise institutional HOP policy to provideclarification. Chief to meet with HR Director on this item.Establish well-defined guidelines for outside UTPA Departments which may require sworn personnel for security which would ensure timely requests forsecurity at special events

4 Conduct an in-dept review of the Guardian Tracking System and improve positive recognitionSchedule vendor to conduct a web-conference overview of GT for the UTPA Police Community Advisory BoardRequest UTPA Police Community Advisory Board members to review our current use and intent of GT.Schedule Vendor to conduct training of Guardian Tracking which improves understandingand employee/supervisor use of GT.Review Awards and Recognition Program and policies for expansion to ensure greaterability by supervisors to provide positive recognition to personnel.Awards & Recognition Committee responsibilities to be expanded. Monthly meetings to review previous month for possible recognition from Committee or recommendation to Chief and Assistant Chiefs for action.Develop Department Training for recognition, coaching/counseling vs. discipline, qualityperformance appraisals, and early intervention performance improvement.

f 100%

g 100%

h 100%

a 100%

b 100%

c 100%

d 100%

e 100%

f 100%


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Operational Audit

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PercentageCompleted

5 Development of options for dealing with overtime issues that include A) improved compensatorytime request process, B) timely notification to personnel, and C) a process for payment of overtimeunder certain circumstances:

a Conduct review of current process and identify potential changes for improvement. 100%Command staff shall provide notification to employee when requested compensatory/overtime differs from determinationDevelop a system to monitor accumulation of compensatory time, and schedule personnel time off to lower balances.Develop a proposal for a supplemental pay plan to begin with FY 2013 for educational levels, peace officer license levels, and certain specialized certifications, in lieu of increasing circumstances or securing additional funds for pay out of overtime.

6 Improve morale through implementation of Mission One Program, which will place non-patrolcommissioned personnel and non-patrol public safety officers in the field as supplemental/augmentation staffing. The initiative will assist in keeping non-patrol personnel skills and knowledgeon field skills current. A second benefit will be increased visibility of the police department in the campus community. A third benefit will be increased opportunity to allow patrol officers to utilizeholiday and banked leave balances.

Patrol surge one day each month to provide enhanced level of foot patrols, bike patrols,parking enforcement, and traffic enforcement.

b Jan 9 - 15th, patrol coverage by non-patrol staff to allow patrol to utilize unused holidy time. 100%Patrol surge during beginning of academic year for 4-5 days to provide enhanced level of footpatrols, bike patrols, parking enforcement, and traffic enforcement.

7 Improve Communication through Department Meetings and by implementing an annual evaluation andgoal setting initiative within the Department.

Hold a minimum of two department meetings per year, generally one every six months to provide news, announcements, and to address items of department concern.Hold a minimum of three "Chief's Coffee" meetings with units or shifts within the Departmentduring the year. Each of these meetings should address a scheduled topic communicated in advance, and/or focus on needs or concerns of the units.Utilize three sources for facilitating feedback to the Command Staff on developing 2012 organizational goals in addition to the above listed items: 1) Evaluation of Goals worksheet submission for each unit supervisor and program coordinator, 2) Evaluation and Goal worksheetsubmission from Department Meeting Discussion groups, 3) the annual UTPA Police CommunityAdvisory Board Report.

8 Canine program continued to be monitored; and consult with UT Austin PD's K9 supervisor.Discontinue use of vendor for training, and rely upon NNDDA annual certification and establishrelationships to train with neighboring law enforcement agency K9 programs.Schedule visit by Sgt. Robert Stock and Officer Jason Taylor with the UT Austin Police Departmentto conduct on site visit and consultation. Implement recommendations resulting from this visit.Conduct regular inspections while the animals are on duty. Inspections should include physicalappearance and health of the dogs, cleanliness of the kennels at home, the assigned vehicles, andthe temporary kennels at the Department.Obtain the highest level of security for storage of the narcotics training aids, yet allow handler access to the aids when additional or corrective training can be conducted. Install day lock boxesin each vehicle, and a training aids safe in the Department accessible to the handlers 24/7.

a Suspended

c 100%

a 100%

c 100%

a100%

b 100%

b 100%

c 100%

d 100%

b 100%

c 100%

d 100%


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PercentageCompleted

9 Discontinue use of 12-hour shift and replace with a traditional 5/8 or 9/80.Discontinued use of the 12-hour shift plan January 1, 2012 and replace with a traditional 5/8schedule.

10 Add commissioned officers as needed and to rebalance the organizational structure.Use existing authorized public safety officer positions to fund reclassification to commissioned officer positions. Three commissioned officer positions created with the elimination/reclassificationof five PSO positions. Additional Student Patrol Community Service Officer positions will be added to compensate for the reduction in PSOs, and assist in covering services provided by PSOs.Nine additional Commissioned Officer positions to be requested in the proposed FY 2013 budget.(funding subject to institutional budget review processes)

d Organizational structure to be reviewed by Chief and VPBA. 100%

11 Prioritize accreditation in such a way so it does not serve to exclude basic operational needs and focus on a morepersonal leadership style.

The timeline for completing CALEA accreditation has been put on hold, so the Department may pursuethis goal at a pace more matched with its ability to achieve this dynamic organizational change balanced with operational effectiveness.Efforts to become a CALEA accredited law enforcement agency will continue, but no timeline will be established until successful completion of the self-assessment phase.This may result in an extension or expiration of the current CALEA contract. An extension will be requested, and/or a new contract established after completion of the self-assessment phase.

c 100%

a 100%

a 100%

b 100%

c 100%

a 100%

b 100%

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