July 8, 2015 VIA E-MAIL George A. Stamboulidis direct dial: 212.589.4211 gstamboulidis@bakerlaw.com Ms. Carole S. Rendon First Assistant U.S. Attorney U.S. Attorney’s Office, Northern District of Ohio 801 West Superior Avenue, Suite 400 Cleveland, Ohio 44113 Carole.Rendon@usdoj.gov Ms. Barbara A. Langhenry Director of Law City of Cleveland Department of Law 601 Lakeside Avenue, Suite 106 Cleveland, Ohio 44114 Blanghenry@city.cleveland.oh.us Ms. Rashida J. Ogletree Trial Attorney U.S. Department of Justice Civil Rights Division Special Litigation Section 950 Pennsylvania Avenue, NW Washington, D.C. 20530 Rashida.Ogletree@usdoj.gov Re: Proposal to Serve as Independent Monitor for the Cleveland Division of Police Dear Mses. Rendon, Langhenry, and Ogletree: Thank you for the opportunity to present our team’s qualifications to serve as the courtappointed monitor for the Cleveland Division of Police. Our team brings together some of the most experienced and respected professionals in the country with proven track records working with law enforcement agencies to formulate policy, design and implement officer training, assess internal affairs and disciplinary systems, build trust with diverse, urban populations and implement use of force protocols designed to reduce the unreasonable use of force and promote de-escalation techniques. As set forth in the accompanying proposal, our experience includes several appointments as independent monitor or examiner of non-prosecution and consent agreements between federal, state and local government agencies and private entities. Our team of former federal prosecutors and law enforcement professionals is supported by a team of data analysts and Cleveland based lawyers who are ideally suited to work with the Cleveland Division of Police and Department of Justice. We welcome the opportunity to provide you with any additional information that might assist you in your selection process. Sincerely, s/ George A. Stamboulidis George A. Stamboulidis Response to Request for Proposal to Serve as Independent Monitor for the Cleveland Division of Police July 8, 2015 Submitted by: George A. Stamboulidis Partner Lauren J. Resnick Partner gstamboulidis@bakerlaw.com T 212.589.4211 F 212.589.4201 lresnick@bakerlaw.com T 212.589.4241 F 212.589.4201 45 Rockefeller Plaza New York, NY 10111-0100 45 Rockefeller Plaza New York, NY 10111-0100 Table of Contents I. Executive Summary 2 II. Personnel 7 III. Qualifications 14 IV. Prior Experience and References 19 V. Proposed Activities 21 VI. Potential Conflicts of Interest 22 VII. Estimated Costs 23 Application to Serve as Independent Monitor 1 I. Executive Summary BakerHostetler LLP submits this proposal to serve as the independent monitoring team for the Cleveland Division of Police (“CDP”) pursuant to the settlement agreement (“Agreement” or “Consent Decree”) between the United States Department of Justice (“DOJ”) and the City of Cleveland (the “City”) entered and ordered by the United States District Court for the Northern District of Ohio on June 12, 2015. We recognize that the Consent Decree is a vehicle that outlines a series of procedural policy revisions that, when properly implemented, will enhance police accountability to the community, increase individual and organizational integrity, and minimize the risk of police misconduct, especially with respect to the use of force. The Agreement calls on the CDP to promote, foster and implement changes in CDP policies and procedures. These changes are designed to improve police community relations with a net effect of improving the delivery of police services to a more trusting and involved community. The BakerHostetler team has the necessary experience and subject matter expertise to monitor compliance while promoting organizational change in the CDP. Our team of professionals offers extensive DOJ monitorship experience and decades of experience in hands-on policing strategy. Our team brings together two former federal prosecutors with extensive experience in court-ordered monitorships and civil rights prosecution, the former Chief of Department for the New York City Police Department, the former Superintendent of the Ohio State Patrol, the sitting Chief of Police in Akron, Ohio and a leading academic on the issues confronting the CDP—all of whom are supported by a team of attorneys from BakerHostetler and investigators and data analysts from two corporate investigations firms. Our team has been selected on multiple occasions by DOJ and other governmental entities to serve as an Independent Monitor, Receiver, or Examiner of compliance with the terms of nonprosecution and consent agreements between the government and various public and private entities and brings specialized expertise in civil rights issues and best practices in policing policy. Members of our team have prosecuted and investigated numerous criminal cases as former federal and state prosecutors and law enforcement professionals. Our proposed monitors, Lauren Resnick and George Stamboulidis, are former federal prosecutors who collectively served for over two decades as Assistant United States Attorneys in the Eastern District of New York, with Mr. Stamboulidis spending his initial years as a federal prosecutor in the District of New Jersey in Newark. Ms. Resnick and Mr. Stamboulidis have extensive experience handling civil rights and police corruption cases and have supervised multiple government-appointed monitorships of public and private entities. BakerHostetler, and Mr. Stamboulidis and Ms. Resnick in particular, have been selected as an independent monitor on five occasions. In addition to having served as the monitor for major financial institutions, a labor union, municipality and others, Mr. Stamboulidis, Ms. Resnick and the firm's white collar team routinely conduct compliance monitoring work and internal investigations for corporations and other public and private entities. DOJ selected the BakerHostetler team to serve as the Independent Monitor of Merrill Lynch, the world's then largest securities firm by capital, stemming from the Enron probe. DOJ appointed Mr. Stamboulidis and Ms. Resnick to serve as the Independent Examiner and Monitor of the Bank of New York and Mellon Bank N.A. arising from federal investigations of anti-money laundering and tax compliance that resulted in two separate non-prosecution agreements subsequently applicable to the combined entity. DOJ again selected the BakerHostetler lawyers to serve as Ethical Practices Attorney for Local 14-14B of the Application to Serve as Independent Monitor 2 International Union of Operating Engineers pursuant to a Consent Decree designed to eradicate corruption and the influence of organized crime from the union. Both are Chambers ranked lawyers in white-collar defense and corporate investigations. In addition to Ms. Resnick’s experience as a monitor, she served as one of the lead prosecutors in the highly publicized Abner Louima trials, where she coordinated with the Internal Affairs Bureau of the New York City Police Department and secured the convictions of the police officers involved in the violent attack. She served as lead trial counsel in the civil rights prosecution stemming from the racial riots in Crown Heights, Brooklyn, and continues to be actively involved in policing strategy issues as a board member of the New York Citizens Crime Commission. Thomas Warren, a partner in BakerHostetler’s Cleveland office, served as a federal prosecutor in Los Angeles where he was Senior Litigation Counsel in the Government Fraud and Public Corruption Section of the U.S. Attorney’s Office for the Central District of California. Mr. Warren investigated and prosecuted numerous civil rights and public corruption cases, and also served as the Chief of the General Crimes Section, in which he supervised the training of more than 50 federal prosecutors in all aspects of federal criminal prosecution. Mr. Warren is named in Chambers USA as a leading lawyer in the area of commercial litigation, and currently serves as Chair of the Appellate Courts Committee of the Cleveland Metropolitan Bar Association. Terry Brennan, also a partner in BakerHostetler’s Cleveland office, currently serves as a court-appointed special prosecutor for the Geauga County Prosecutor’s Office. He focuses his practice on corporate criminal matters and represents individuals and businesses in connection with investigations and prosecutions conducted by the DOJ, Securities Exchange Commission, Internal Revenue Service, Food and Drug Administration, and other federal and state law enforcement agencies and regulatory bodies. Mr. Brennan conducts internal investigations on behalf of corporate clients, and lectures annually on effective deposition taking. Consultant Team Members Our team’s police experts include Philip Banks III, the recently retired Chief of the New York City Police Department (“NYPD”). As the highest ranking uniformed member of the NYPD, Chief Banks commanded the department’s day-to-day operations and supervised a uniformed force of approximately 35,000 police officers. The NYPD is the largest police agency in the world and Chief Banks oversaw all of its uniformed and civilian operations and investigations. With over 26 years of law enforcement experience, Chief Banks is well-versed in drafting, reviewing and implementing policy and procedural changes involving all aspects of policing, including changes to the NYPD’s use of force, community policing and anti-discrimination policing policies. He has developed, overseen and implemented training programs in problem-oriented policing, community policing, and use of force investigations. As chair of the NYPD’s firearms review board, Chief Banks was responsible for making the determination of whether officer involved shootings fell within department guidelines. Chief Banks’s experience is complemented by extensive study in the area of police management and public administration. He is a graduate of Harvard University’s John F. Kennedy School of Government, the Police Management Institute at Columbia University and the Executive Leaders Program in Counterterrorism at the Naval Postgraduate School, Center for Homeland Defense and Security in Monterey, California. In addition to his operational responsibilities, Chief Banks implemented the Best Practices Portal, an informational forum designed to foster relationships with the general public as well as public and private agencies. Colonel Kenneth Morckel has over 30 years of law enforcement experience in the State of Ohio. He began his career with the Ohio State Highway Patrol (“OSHP”) in 1974 rising to the rank of Superintendent in 2000. After retiring from the OSHP in 2003, the Governor of Ohio appointed Colonel Morckel Director of the Ohio Department of Public Safety (“ODPS”), a position he held until Application to Serve as Independent Monitor 3 2007. During his tenure as Superintendent, the OSHP experienced a period of dramatic change as demands for police services increased exponentially after the terrorist attacks of September 11, 2001. To ensure the quality of police services, Colonel Morckel instituted a number of programs designed to counter bias-based policing, including the implementation of staff development programs and community policing initiatives. In addition, Colonel Morckel made traffic stop diversity data and complaint statistics available to the public. By increasing the level of transparency between the public and statewide law enforcement, the OSHP, under Colonel Morckel’s leadership, was able to engage community stakeholders and foster a greater degree of trust with the public. As Director of ODPS, Colonel Morckel chaired the State of Ohio Security Task Force, a 23 member committee that advised the Governor on strategies for the coordination and strengthening Ohio’s homeland security initiatives. He served as Ohio’s point of contact for the U.S. Department of Homeland Security becoming a nationally recognized expert on homeland security issues. Colonel Morckel also chaired the Multi-State Public Safety Communications Consortium, an informal association of seven mid-western states dedicated to the development of interoperable communications for all first responders. He received the prestigious "Legacy Award" from the Ohio Association of Chiefs of Police in 2006 for significant contributions to the advancement of Ohio’s law enforcement and homeland security initiatives. Chief James Nice has been Chief of the Akron, Ohio Police Department since June 2011. The Akron Police Department serves a community of approximately 200,000 citizens, who reside less than 35 miles outside of Cleveland. In such close proximity to Cleveland, Chief Nice is thoroughly familiar with the numerous issues and concerns that confront Cleveland’s residents and has been confronted with similar challenges. Since his appointment, Chief Nice has implemented a number of new initiatives designed to address community concerns, including the creation of an Anti-Violence Bureau, Heroin Investigative Unit, Gun Violence Reduction Tactical Team and Neighborhood Response Team. Prior to joining the Akron Police Department, Chief Nice spent 26 years with the FBI where he was instrumental in investigating the Los Angeles riots and the September 11 terrorist attacks. As a result of his efforts, Chief Nice was nominated for the FBI Director’s Award and the U.S. Attorney General’s Award for Excellence. Throughout his career, Chief Nice has investigated, analyzed and provided recommendations for police processes, law enforcement administrative procedures and police training initiatives. Commander Jamie Tavano of the Kirkland, Ohio Police Department is the commanding officer of the Lakeland Police Academy, which provides the requisite training for appointment as a police officer in the State of Ohio. Commander Tavano is the architect of the curriculum taught at the academy and has been a Certified Ohio Peace Officer Training Instructor since 1997. In addition, he serves as a Field Training Supervisor and Department Training Officer with the Kirtland Police Department, positions he has held since 1998. Jonathan Witmer-Rich, Esq. is an associate professor of law at the Cleveland-Marshall College of Law. Professor Witmer-Rich’s research focuses on issues related to criminal procedure and criminal law theory. He has been published extensively in the academic press, and peerreviewed journals on issues of criminal procedure and police practices. His work has been cited with approval by the Second Circuit Court of Appeals. In addition to his written work, Professor Witmer-Rich has been active in the Cleveland community and has moderated a number of panel discussions addressing the issues confronting Cleveland and the CDP. These panel discussions have brought together many of the stakeholders involved in the process of reforming the CDP. Professor Witmer-Rich also provides expert commentary for Cleveland based media outlets on issues involving the criminal justice system. Members of the BakerHostetler team have a recognized reputation for integrity, thorough analysis and sound judgment, giving our team unique insight and experience in enforcing Application to Serve as Independent Monitor 4 compliance procedures, implementing governmental reform and managing a large police agency. Set forth below is a brief description of the manner in which BakerHostetler would fulfill the duties and responsibilities of the monitorship of the CDP, including an outline of proposed activities to oversee the implementation of reforms called for by the Consent Decree. Summary of Project Completion The team’s activities in assessing and reporting on the implementation of the Consent Decree will reflect the pace at which reform measures are developed and implemented by the CDP and the City. While monitoring is necessarily a dynamic process, we describe below our approach during the implementation of the monitoring plan under the Consent Decree as well the objectives described in the DOJ’s investigative report, dated July 22, 2014, and the June 17, 2015 Request for Proposal. In the initial phase of monitoring, our team will perform the diligence necessary to learn the full context, history and facts underlying the investigation conducted by DOJ. During this period, we will meet with and gain the perspectives of the DOJ Civil Rights Division, the CDP, the City, police unions and various community stakeholders, including but not limited to, the Cleveland chapter of the NAACP, the Collaborative for a Safe, Fair, and Just Cleveland. These preliminary investigative meetings with the CDP, DOJ and community groups are essential to scoping priority areas of oversight and forging the relationships necessary for the successful implementation of the terms of the Consent Decree and achieve its stated goals. We would next develop methods for gaining immediate access to and securing the information necessary to perform the specific tasks of the Consent Decree, including surveying the types and categories of information maintained by the CDP. The monitoring team, in conjunction with DOJ and the CDP, will develop protocols for visits to CDP offices and personnel for document retrieval, records review and field observations. The monitoring team will, however, retain the option to conduct random audits as it deems appropriate and necessary to monitor and evaluate compliance with the Consent Decree. The monitoring team would expect to obtain information from a variety of sources within the CDP, including data and information from electronic databases and other document repositories. We will establish regular status meetings with representatives of the CDP and DOJ to discuss ongoing compliance issues, upcoming monitor visits, and provide technical assistance as well as training regarding constitutional policing practices. Following the initial diligence process, the monitoring team will formulate a detailed monitoring plan with short-term and long-term goals that include the mandatory elements of the monitoring team’s responsibilities as well as additional high priority tasks and oversight based on the information gathered in the investigative process. The monitoring plan would also include the steps necessary for conducting the compliance reviews and outcome assessments required by the Consent Decree. Our plan will ensure that the CDP addresses each area of reform the Consent Decree seeks to implement. We will assist the CDP in the review and revision of its policies, procedures and training programs to effect changes to the department’s policing strategies and practices. Our plan will focus on areas where the CDP has been found to be deficient, specifically with respect to the use of force (whether lethal or non-lethal), supervisory investigations of officers’ use of force, internal affairs investigations, investigations of civilian complaints of officer misconduct, inadequate training on the appropriate use of force, ineffective community engagement, lack of an effective officer intervention program, and the disproportionate effect these deficiencies have on the community. Our technology experts will build a software system similar to ones used in other police departments to manage internal complaint systems, and investigations and adjudications of officer related misconduct to provide an early warning system for police supervisors. Application to Serve as Independent Monitor 5 On an ongoing basis throughout the five-year period of the monitorship, we will assess compliance with the Consent Decree as to the development and implementation of CDP policies and procedures. Compliance reviews and audits comprised of citizen and officer interviews, data analyses, outcome assessments, and other investigative measures will be conducted to determine whether implementation of the Consent Decree has resulted in constitutional policing. Application to Serve as Independent Monitor 6 II. Personnel George A. Stamboulidis Partner New York Mr. Stamboulidis is the co-leader of the firm's national White Collar Defense and Corporate Investigations team. He focuses his practice on monitorships, white collar defense and corporate criminal investigations. Mr. Stamboulidis has been appointed five times by the DOJ as an independent monitor, including as monitor of a national construction trade labor union and large financial institutions. In addition to his DOJ monitorships, he has been selected as a monitor by the New York Attorney General’s Office and serves as the monitor of the second largest municipality in New York State. Prior to joining the firm, Mr. Stamboulidis served for 13 years in a variety of positions in the DOJ, including as a federal organized crime prosecutor in the Newark Strike Force and as Chief of the Long Island Division of the U.S. Attorney’s Office for the Eastern District of New York. During his work as a federal prosecutor in Brooklyn, he investigated allegations of police corruption within the NYPD. Lauren J. Resnick Partner New York Ms. Resnick is a former Assistant U.S. Attorney for the Eastern District of New York and a two-time recipient of the Department of Justice Director’s Award for Superior Performance. Ms. Resnick has directed numerous monitorships and examinerships in connection with the firm’s appointment by the DOJ and other governmental agencies to assess compliance procedures and controls of public and private entities in connection with non-prosecution and consent agreements. She is regularly retained by executive management and audit committees of Fortune 500 companies to conduct internal investigations and compliance assessments related to a variety of regulatory issues. During her tenure as a prosecutor in the United States Attorney’s Office in the Eastern District of New York, Ms. Resnick served as the lead prosecutor in high profile civil rights and police corruption cases, including the Abner Louima matter, in addition to handling a variety of organized crime and business fraud cases. She continues to advise on police enforcement strategies as a board member of the New York Citizens Crime Commission. Application to Serve as Independent Monitor 7 Thomas D. Warren Partner Cleveland Mr. Warren served as federal prosecutor in Los Angeles for nearly a decade before returning home to Cleveland in 2003. As Senior Litigation Counsel in the Government Fraud and Public Corruption Section of the U.S. Attorney’s Office for the Central District of California, he was involved in investigating and prosecuting civil rights and public corruption cases, including the prosecution of a California state court judge on corruption charges. While with the U.S. Attorney’s Office, Mr. Warren served as Chief of the General Crimes Section, where he supervised the training of more than 50 federal prosecutors in all aspects of federal criminal prosecution. Now the CoChair of Baker Hostetler’s appellate practice, Mr. Warren was a key member of the team that obtained a reversal of the murder conviction of a 12-year-old boy, who falsely confessed to the murder of a 5-year-old girl. The team then brought a federal civil rights action on behalf of the accused against the chief prosecutor, and obtained a multimillion-dollar settlement, a letter of apology signed by three police chiefs, and, ultimately, the chief prosecutor's ouster from office. Terry M. Brennan Partner Cleveland Mr. Brennan is currently serving as a court-appointed special prosecutor for the Geauga County Prosecutor’s Office in a matter in which the elected Geauga County Prosecutor is the victim, and on multiple occasions has been appointed as a special prosecutor. He focuses his practice on corporate criminal matters and represents individuals and businesses in connection with investigations and prosecutions conducted by the Department of Justice, Securities Exchange Commission, Internal Revenue Service, Food and Drug Administration, and other federal and state law enforcement agencies and regulatory bodies. Mr. Brennan also represents a multitude of public and private corporations and individuals in complex commercial disputes and litigation matters involving securities, intellectual property, trusts and fiduciaries. Application to Serve as Independent Monitor 8 Consultant Team Members Philip Banks III Chief of Department, New York City Police Department (Ret.) President, Philip Banks Solutions, Inc. Chief of Department Philip Banks III, joined the New York City Police Department in July 1986, and began his career as a patrol officer in Brooklyn. Before being appointed Chief of Department, the highest ranking uniformed officer in the police department, Chief Banks served as the commander of various units throughout the NYPD spread across a diverse area of communities in New York City. Chief Banks holds a Bachelor of Science degree in Business Administration from Lincoln University, the historically black university in Pennsylvania, whose alumni include Langston Hughes and Thurgood Marshall. Chief Banks is a 2001 graduate of the Police Management Institute at Columbia University, and more recently completed advanced management training for Senior Executives in State and Local Government at Harvard University’s John F. Kennedy School of Government and the Executive Leaders Program in Counterterrorism at the Naval Postgraduate School, Center for Homeland Defense and Security, in Monterey, California. Chief Banks is also a member of the founding chapter of the philanthropic institution, 100 Black Men, Inc. Honors & Awards • National Latino Officers Association Leadership Award: Recognition of Outstanding Leadership and Contribution to the Advancement of Policing, 2014 • William Tucker Garvin Public Service Award, 2014 • Outstanding Police Contribution in the Criminal Justice System, New York State Bar Association, 2014 • Outstanding Dedication and Tireless Efforts on Behalf of our Community at Large, • NYS Assembly Citation, Michael G. Miller - Legacy Center, 2012 • Citizen of the Year Award - Omega Psi Phi Fraternity, Alpha Upsilon Chapter, 2010 • Outstanding Commitment to Fostering Strong Community Relations, Office of Comptroller, 2006 Affiliations • International Association of Chiefs of Police • NYPD Guardians Association • National Organization for Black Law Enforcement Executives (NOBLE) • 100 Black Men Inc. • Phi Beta Sigma Fraternity, Mu Chapter 3 Application to Serve as Independent Monitor 9 Kenneth L. Morckel Director of Public Safety, State of Ohio (Ret.) Superintendent/Colonel, Ohio State Highway Patrol (Ret.) Colonel Kenneth L. Morckel served as Director of the Ohio Department of Public Safety (ODPS) from 2003 to 2007. In this cabinet-level position, Colonel Morckel oversaw the eight agencies that comprise the ODPS, Homeland Security, Ohio State Highway Patrol, Bureau of Motor Vehicles, Emergency Management Agency, Emergency Medical Services, Ohio Investigative Unit, and Criminal Justice Services and Administration, and advised the Governor on issues relating to homeland security. Prior to being named ODPS Director in 2003, Colonel Morckel served nearly 29 years in the Ohio State Highway Patrol (OSHP) and was named the 13th Superintendent of the OSHP in 2000. Colonel Morckel is currently Director of Law Enforcement/Homeland Security Services for First Response Enterprises, LLC. His company provides strategic consulting services to a broad range of clients specializing in first responder communications and resource allocation. James D. Nice Chief of Police, Akron Police Department (Active) Federal Bureau of Investigation, Chief of Undercover and Sensitive Operations (Ret.) Prior to his appointment as Chief of the Akron Police Department, Chief Nice spent 26 years as an FBI Agent, and was the head of the Bureau’s Undercover and Sensitive Operations Desk. Before embarking on his career in law enforcement, Chief Nice served in the US Navy, and taught public school in Plano, Texas. Chief Nice is a 1985 graduate of the FBI Academy, and earned an MBA from the University of Dallas in 1985; an MS in Education, from East Texas State University in 1983; and a BS in Education, from the University of Akron in 1980. Application to Serve as Independent Monitor 10 Jamie Tavano Commander, Lakeland Regional Basic Police Academy Field Training Supervisor/Department Training Officer, Kirtland Police Department (Active) Commander Tavano is responsible for the training regimen at Lakeland’s Regional Basic Police Academy, which is administered by the Department of Continuing Education, in conjunction with the Ohio Peace Officers Training Council (OPOTC). Commander Tavano has been a Certified Ohio Peace Officer Training Academy Unit Instructor since 1997. In addition, he serves as a Field Training Supervisor and Department Training Officer with the Kirtland Police Department, positions he has held since 1998. Commander Tavano holds a B.A. in Criminal Justice and is a 2003 graduate of the FBI National Academy. He graduated from Northwestern University School of Police Staff and Command in 2002, and the Cleveland Heights Police Academy in 1989. Gregory Hagarty Alpha Group Investigations Special Agent, Federal Bureau of Investigation (Ret.) Gregory Hagarty is the Manager of the Forensic Accounting Practice at Alpha Group Investigations. Prior to joining Alpha Group Mr. Hagarty was a Special Agent of the Federal Bureau of Investigation for more than 25 years where he served in a number of roles, including Acting Supervisor. Mr. Hagarty is a Certified Public Accountant licensed in New York State, and is certified in Financial Forensics by the American Institute of Certified Public Accountants. He has extensive experience in white collar investigations. In one of his more notable cases, Mr. Hagarty was the FBI case agent leading the investigation into the fraud perpetrated by Bernard L. Madoff Securities LLC. Mr. Hagarty has experience developing high dollar budgets and tracking their progress through various stages of completion in a law enforcement setting. Mr. Hagarty earned a BBA in Business Administration with a Public Accounting major, and an MS in Taxation from Baruch College. Application to Serve as Independent Monitor 11 David A. Lyons International Research Group, Inc. Special Agent, Federal Bureau of Investigation (Ret.) Mr. Lyons is a Senior Investigator at International Research Group, a Cleveland based corporate investigations and data analytics firm. A Special Agent with the Federal Bureau of Investigation for 22 years, Mr. Lyons was assigned to investigate complex financial fraud including financial institution fraud, Ponzi schemes, mail and wire fraud, insurance fraud, public corruption and computer fraud. He spearheaded the development of the FBI’s National InfraGard Program. During his years with the FBI Mr. Lyons served as a member of the FBI SWAT team for the New Orleans and Cleveland Divisions, and the FBI’s Special Operations Group. After the FBI, Mr. Lyons worked as a Vice President with KeyBank, where he led the Background Investigations Unit and the Fraud Detection & Risk Analysis department. Mr. Lyons is a Certified Fraud Examiner, CPA (Ohio inactive status), and Anti-Money Laundering Professional (AMLP). Mr. Lyons earned his BBA in Business Administration from Ohio University, and MBA in Business Information Systems from Baldwin Wallace College. Jonathan P. Witmer-Rich, Esq. Cleveland-Marshall College of Law Associate Professor of Law Professor Witmer-Rich's research focuses on criminal procedure and criminal law theory. His articles have appeared in journals such as the Florida Law Review, Criminal Law and Philosophy, the Pepperdine Law Review, and the Case Western Reserve Law Review. He teaches courses in criminal law, criminal procedure, and law and terrorism. Professor Witmer-Rich currently serves as counsel to the Criminal Rules Committee of the Ohio Commission on the Rules of Practice and Procedure. Before joining the faculty in 2009, Professor Witmer-Rich practiced at the Federal Public Defender's Office, where he represented defendants charged with a wide range of federal crimes. He also represented several detainees at the Guantanamo Bay detention facility in habeas corpus proceedings. Professor Witmer-Rich earned a Bachelor of Arts degree from Goshen College and a Juris Doctor from the University of Michigan. Application to Serve as Independent Monitor 12 Maureen Spencer Alpha Group Investigations New York Ms. Spencer is one of Alpha Group’s most experienced investigators. After her retirement from the New York City Police Department as a first grade detective, Ms. Spencer worked for the Special Commissioner of Investigation for the New York City School District where she spearheaded investigations into the corrupt practices of officials from the New York City Board of Education. Her previous positions include the Office of the New York State Inspector General, where she was responsible for the planning, direction and control of highly confidential and sensitive investigations into public officials and employees. Application to Serve as Independent Monitor 13 III. Qualifications We address below the BakerHostetler team’s qualifications for each of the monitoring functions required for comprehensive and effective monitoring of the CDP’s compliance with the Consent Decree. As the discussion makes clear, the BakerHostetler team of experienced DOJ appointed monitors, former federal prosecutors, police executives, data analysts and academic expert is well equipped to address all aspects of the monitorship program. A. Monitorship, Auditing and Compliance Process Improvement Monitoring, auditing, evaluating or otherwise reviewing performance of organizations, including experience in monitoring settlements, consent decrees or court orders; Evaluating the breadth of and depth of organizational change, including the development of outcome measures; Development of effective quality improvement practices. BakerHostetler has been selected on multiple occasions by the U.S. DOJ and other governmental entities to serve as independent Monitor or Examiner of compliance with the terms of non-prosecution and consent agreements between the government and private entities. In each of these engagements, BakerHostetler has conducted interviews, assessed compliance programs, tested systems and provided detailed written reports of its observations to the government. Our criminal investigations team has the experience necessary to ensure the effective handling of internal investigations, so that the essential facts underlying misconduct allegations are uncovered and remediated. As part of its investigation into the collapse of Enron, DOJ selected Ms. Resnick and Mr. Stamboulidis to serve as the outside independent Monitor of Merrill Lynch, at the time the world's largest securities firm by capital. Pursuant to the non-prosecution agreement, our team reviewed Merrill Lynch's implementation of policies and procedures governing the integrity of complex structured finance transactions and made recommendations to optimize policies, controls and training firm wide. Ms. Resnick and Mr. Stamboulidis were also appointed by DOJ to serve as Independent Examiner of the Bank of New York. In connection with that engagement, our team monitored and assessed the bank's suspicious activity reporting practices, anti-money-laundering procedures, and compliance with related laws and regulations. In May 2007, the U.S. Attorney's Office for the Western District of Pennsylvania selected BakerHostetler to serve as the outside independent Monitor of Mellon Bank, N.A (Mellon) in connection with a settlement agreement resolving the destruction of customer tax returns and vouchers by bank employees. Following Mellon's merger with the Bank of New York, our team was responsible for oversight of Bank of New York Mellon's enhanced governance around its compliance and audit functions and its development of robust protocols and procedures for the firm's key compliance risk areas. Our team has conducted similar process and compliance assessments with reporting requirements to state and local governmental entities. In 2007, BakerHostetler was asked by Siemens, one of the world's largest conglomerates specializing in electronics, engineering and medical devices, to provide an independent report to the New York State Comptroller's Office regarding a subsidiary's internal controls around government contracting and procurement. Later that year, BakerHostetler was selected by the Town of Brookhaven to serve as Independent Monitor for solid waste contracts. Along with an outside investigative firm, our team monitors contracts and activities between the Town of Brookhaven's Department of Waste Management and suppliers of construction and demolition debris, ash and other waste material. Application to Serve as Independent Monitor 14 BakerHostetler, with Mr. Stamboulidis and Ms. Resnick serving as lead attorneys, recently concluded a five-year term as Ethical Practices Attorney for Local 14-14B of the International Union of Operating Engineers to eradicate corruption and organized crime influence from the union. Oversight involved investigation of allegations of misconduct by union officers, members and employers, commencement of disciplinary actions to eliminate corruption and the influence of organized crime from Local 14, review and revision of job referral and other union protocols, and supervision of elections. B. Policing Practice and Strategy & Community Engagement Law enforcement practices, including training, community policing and problem-oriented policing, complaint and use of force investigations and constitutional policing; Effective engagement of diverse communities; Language skills and experience working with limited English proficient persons and communities, in particular communities whose primary language is Spanish or Portuguese. As the NYPD’s highest ranking uniformed member, Chief Banks was responsible for the operational planning and performance management platform replicated by dozens of police departments around the country. Compstat, as it is known colloquially within the NYPD, allows senior commanders to share tactical and strategic information to develop plans of action to improve quality of life, encourage community engagement, and reduce crime. Chief Banks also led the department through a period of significant change, one in which the NYPD was restructured organizationally while embracing the diversity of the community. Under his watch, the diversity of the department’s members grew at an accelerated rate. As both the Chief of Department and in his prior position as Chief of Community Affairs, Chief Banks was responsible for the NYPD’s community relations programs, including its community policing strategies. He designed strategies to foster positive interactions between the police and the communities they served. One such strategy included mobilizing members of the community affairs division to respond to critical incidents such as police shootings in an effort to liaison with the affected community to facilitate the flow of accurate information while stemming the flow of rumor and innuendo. Having served in a number of capacities in his long and distinguished career, Chief Banks has forged long lasting relationships with the communities in which he has served. A member of the National Organization of Black Law Enforcement Executives, Chief Banks has been recognized for advancement in police practices and outreach by Latino and other community organizations. Chief Banks presided over the NYPD’s review board for all police involved shootings which investigated and ultimately decided whether the circumstances of the individual officer’s actions were within department guidelines. With responsibility for all facets of NYPD policy and practice, Chief Banks’ law enforcement experience is as varied as it is vast. Colonel Morckel was responsible for the daily administration and operational procedures of the eight divisions of Ohio’s homeland security apparatus, of which the OSHP is one. While Superintendent of the OSHP and Director of the ODPS, Colonel Morckel was responsible for investigating, analyzing and providing recommendations for literally thousands of police reports, investigations, and law enforcement functions. As head of one of the most progressive law enforcement agencies in the United States, and with decades of police experience Colonel Morckel is eminently qualified in all aspects of police management and procedure. Colonel Morckel served as Superintendent of the OSHP during a time when his agency’s assistance was requested by the City of Cincinnati. In 2001, after an officer involved shooting Application to Serve as Independent Monitor 15 ignited three days of riots in Cincinnati, the OSHP was called in to assist the Cincinnati Police Department. DOJ’s investigation into the patterns and practices of the Cincinnati Police Department resulted in a consent decree being issued by the district court. Colonel Morckel and the OSHP assisted the Cincinnati police chief in complying with the reforms called for by the consent decree. Commander Tavano has devoted almost his entire career to developing the most effective reality-based training procedures for police officer candidates in the State of Ohio. The in-service training curriculums Commander Tavano has developed for active shooter scenarios are used by police departments throughout the country. He has written numerous policy and procedure manuals for non-lethal use of force scenarios, and has developed in-service training videos and PowerPoint presentations for traffic stop protocols. C. Data Analysis & Information Management Statistical and data analysis; Information technology; Data management. A critical element in the effective monitoring of the CDP’s compliance with the anticipated Consent Decree is the availability and reliability of the information critical to the measurement of progress. For this reason, access to trustworthy data from various operational sources and information systems is essential to overseeing the CDP’s compliance efforts. Under the direction of retired special agents Hagarty and Lyons, the consultant team members will design an information management architecture that will enable the monitoring team to effectively collect data from operational systems, and use this data to analyze and measure compliance. Mr. Hagarty will periodically audit the system and its data to assess the validity of the results being gathered and reported to the Independent Monitor and the Court. A vital component of this work will be the use of statistical sampling. Messrs. Hagarty and Lyons have extensive experience conducting data analysis of law enforcement related information. Our team of experienced consultants is skilled in quickly acquiring, and transforming largescale datasets into workable databases that are used to analyze and solve problems and maximize opportunities. Alpha Group’s and International Research Group’s specific services include: • Identifying, acquiring, synthesizing, mining, and analyzing relevant data; • Identifying the relationships among multiple sources and types of data; • Distributing or sharing information among interested parties. We will work with technology experts from the CDP and City in the design and implementation of the information management sharing system. The structure we design to manage data and share information will serve as the foundation for the monitoring team’s ability to plan and develop strategies to ensure that the CDP is making progress towards the goals and requirements of the anticipated Consent Decree. D. Dispute Resolution Mediation and dispute resolution. The BakerHostetler team has extensive experience in mediation and alternative dispute resolution, which is an active part of its litigation practice in criminal and civil matters. Our experience as monitors in other engagements has provided us with the opportunity to navigate sensitive issues among multiple constituents in connection with consent decrees and nonprosecution agreements and mediate issues that developed in fulfilling our role as monitor. Because several of the firm’s attorneys are mediators registered with the Court, our experience Application to Serve as Independent Monitor 16 includes participation as court-appointed mediators and counsel to parties involved in mediation, arbitration and other settlement discussions. Ms. Resnick previously served as a court-appointed mediator in Massachusetts state court. E. Civilian Oversight Creation and evaluation of meaningful civilian oversight. Ms. Resnick sits on the board of the New York Citizens Crime Commission, an independent nonpartisan organization that works to reduce crime and improve the criminal justice system by influencing New York’s law enforcement strategies. The Crime Commission serves on various task forces and groups, including the New York State Law Enforcement Council, a consortium of leading law enforcement professionals that helps determine New York's law enforcement legislative priorities. The Crime Commission's work brings it into close contact with agencies such as the Office of the Mayor of the City of New York, the Governor, city and state police departments, District Attorneys, New York State courts, and city and state corrections departments. Recently, the Crime Commission successfully supported the greater use of DNA evidence in crime fighting, expanded opportunities for at-risk youth, developed interventions against gun violence, and highlighted the changing nature of the threat of terrorism. F. Familiarity with Law & Local Issues Familiarity with federal, Ohio and local laws, including civil rights laws and policies and rules governing police practices; Familiarity and understanding of local issues and conditions. BakerHostetler is a Cleveland based law firm whose roots have been firmly established in the Cleveland community for almost 100 years. Cleveland partners, Tom Warren and Terry Brennan are members of the Ohio state bar and practice law in Ohio federal and state courts. Mr. Brennan currently serves as a court-appointed special prosecutor for the Geauga County Prosecutor’s Office, and is a former Cuyahoga County Prosecutor, who prosecuted a wide-range of felony cases. In addition to his familiarity with local and state laws, Mr. Warren served as an Assistant U.S. Attorney in the U.S. Attorney’s Office for the Central District of California, where he investigated and prosecuted civil rights and public corruption cases. Mr. Stamboulidis served as an Assistant U.S. Attorney in the U.S. Attorney’s Office in the Eastern District of New York and the District of New Jersey where he supervised task forces and directed multi-agency investigations in which local law enforcement participated. Ms. Resnick handled the two largest civil rights prosecutions in the New York metropolitan area during her tenure as an Assistant U.S. Attorney in the Eastern District of New York and has a deep understanding of federal civil rights laws and rules governing police practices. The BakerHostetler team is comprised of former and current prosecutors, police executives and investigators who understand Ohio law enforcement practices and the issues confronting the Cleveland community. Our team’s Ohio roots afford BakerHostetler a unique awareness and understanding of the issues confronting the Cleveland community and the CDP. G. Matter Management & Reporting Completing projects within anticipated deadlines and budget; Preparing for and participating in court proceedings; Report writing for a broad variety of stakeholders. Application to Serve as Independent Monitor 17 BakerHostetler has consistently produced timely work that is within budgetary caps and in many cases under the projected budget. The team’s former federal and state prosecutors and police executives have considerable experience preparing investigative matters for the myriad of court proceedings that comprise criminal and civil litigation. Members of the monitoring team have produced numerous reports designed for a broad variety of stakeholders. In previous monitorships, BakerHostetler team members have produced written reports to DOJ, federal judges, state agencies and monitored agencies and companies summarizing their oversight of process improvements and remediation efforts in compliance with consent decrees and non-prosecution or deferred prosecution agreements. The BakerHostetler team is experienced in preparing actionable reports of monitoring observations and routinely prepares reports for law departments, senior management, internal audit committees, and boards of directors of corporate clients. As police executives, our team members have written reports to city officials, senior police management and other constituents. Our attorneys regularly advise clients regarding the implementation and testing of compliance programs and other crucial preventative measures. We frequently assist public and private entities with reviews and remediation of their compliance training, procedures and internal controls. Our attorneys are capable investigators, negotiators and advocates who work diligently to protect the reputations of our clients, keeping them out of the headlines and in compliance with today's complex regulatory and statutory requirements. Given the sensitive and highly public nature of this matter, it is our team’s goal to work closely with the CDP to ensure that the appropriate training, procedures and enforcement strategies required by the Consent Decree are implemented and the effectiveness and reputation of the CDP is thereby enhanced. Our police practice experts have dealt with institutional transformation and change management, and have evaluated the breadth and depth of organizational change, including the development of outcome measurements within police departments and other municipal organizations. They are experienced in dealing with government agencies, police labor unions, and the budgetary constraints that every law enforcement agency faces. Application to Serve as Independent Monitor 18 IV. Prior Experience and References The BakerHostetler team’s monitorship related appointments have included: — Ethical Practices Attorney for Local 14-14B of the International Union of Operating Engineers to eliminate corruption and ensure integrity of union practices. References: Richard Hayes U.S. Attorney’s Office for the Eastern District of New York 271 Cadman Plaza Brooklyn, New York 11722 (718) 254-7000 James Steinberg Counsel to Local 14-14B Brady McGuire & Steinberg, P.C. 303 South Broadway – Suite 234 Tarrytown, New York 10591 (914) 478-4142 — Independent Monitor for Merrill Lynch reviewing procedures around complex structured finance transactions. References: Leslie Caldwell, Assistant Attorney General, Criminal Division United States Department of Justice 950 Pennsylvania Avenue, NW Washington D.C. 20530 (202) 514-7200 Andrew Weissmann, Adjunct Professor of Law & Senior Fellow at New York University School of Law (former Director of Enron Task Force, U.S. Department of Justice) 139 MacDougal Street – Suite 609 New York, New York 10012 (212) 998-6689 — Independent Examiner for Bank of New York assessing anti-money laundering program and SAR filing compliance. Reference: Matthew L. Biben Debevoise & Plimpton LLP 919 Third Avenue New York, New York 10022 (212) 909-6606 Application to Serve as Independent Monitor 19 — Independent Monitor for Mellon Bank N.A. assessing compliance policies and practices. Reference: — Monitor for Town of Brookhaven waste disposal and landfill practices. Reference: — Matthew Miner Commissioner, of Waste Management Town of Brookhaven One Independence Hill Farmingville, New York 11738 (631) 451-8696 Independent Reviewer of Siemens Medical Services procurement and government contract procedures. Reference: — Matthew L. Biben Debevoise & Plimpton LLP 919 Third Avenue New York, New York 10022 (212) 909-6606 Joel Kirsch Associate General Counsel, Siemens Corporation 527 Madison Avenue – Eighth Floor New York, New York 10022 (212) 258-4376 Counsel to the court-appointed trustee under SIPA in the liquidation of Bernard L. Madoff Investment Securities LLC. Reference: Irving H. Picard BakerHostetler LLP 45 Rockefeller Plaza New York, New York 10111 (212) 589-4688 Application to Serve as Independent Monitor 20 V. Proposed Activities We believe our monitoring team can bring a valuable qualitative component to the auditing responsibilities that the Consent Decree will contain. For example, BakerHostetler will design a monitoring program that will assess the quality of the policies and procedures implemented to effect the changes called for by the Consent Decree. This includes evaluating the training of CDP members on identified issues of concern and the evaluation of investigations for thoroughness and effectiveness. The experienced monitors on our team, with input from our police experts, will develop the protocols for assessing compliance with the Consent Decree’s objectives. Our team will develop methods for obtaining access to the documentary and electronic information necessary to perform the specific tasks assigned to the monitoring team, including conducting compliance reviews and audits and conducting assessments to measure whether implementation of the Consent Decree is resulting in constitutional policing. To enhance efficiencies, Alpha Group and International Research Group team members will seek to develop direct and quick access to CDP databases directly to expedite the flow of information. However, we believe an active monitor should seek sources of information beyond the written data contained in police reports. As such, we will seek to obtain information from other sources to learn the degree to which reform is taking place. These additional metrics will include the communities within Cleveland, the rank and file and executive staff of the CDP and other relevant stakeholders. In addition, the BakerHostetler monitoring team believes it can enhance the auditing process through its ability to go beyond the documents by ensuring that the monitoring program includes training CDP members on the revised policies and procedures as they are implemented. These direct interactions with CDP personnel will ensure that the goals of the Consent Decree are realized on a department-wide level. A qualitative assessment of CDP awareness and implementation will involve on-site visits by members of our team. Having former police executives on our team with diverse law enforcement backgrounds will enable our monitoring team to provide effective, credible and instructive oversight. Because of BakerHostetler’s home office in Cleveland, we will have a regular and ongoing presence in the City and will be available to coordinate with the DOJ, CDP, City and District Court on all issues associated with implementing the Consent Decree’s policy and procedural changes. Application to Serve as Independent Monitor 21 VI. Potential Conflicts of Interest We are aware of no conflicts of interest or potential conflicts of interest that would compromise any team member’s ability to perform the work required of the independent monitor for the CDP. Application to Serve as Independent Monitor 22 VII. Estimated Costs In order to provide Cleveland and the CDP with the experience and expertise of our monitoring team at a fair and reasonable rate, BakerHostetler and its affiliated consultants will offer their services at significantly discounted hourly rates. Under this fee schedule, the BakerHostetler team offers the services of its independent monitors, Ms. Resnick and Mr. Stamboulidis, and its key legal and expert staff at a blended hourly rate of In light of our commitment to undertaking this type of monitorship work on behalf of the City of Cleveland and DOJ, this blended rate reflects significant discounts from the key team members’ standard billing rates and provides the CDP with a highly qualified team of attorneys with extensive monitoring and police experience. In addition to the core team, BakerHostetler will retain supplemental data analytics services from Alpha Group Investigations and International Research Group at a blended hourly rate of Additional subject matter and academic experts will provide their services at a blended hourly rate of These rates are significantly below the rates typically charged by professionals with similar skill sets. The BakerHostetler monitoring team has the added advantage of being able to conduct its on-site and off-site work in Cleveland, thus eliminating expenditures for on-site workspace. Because the rates for all personnel are not dependent on the location where the services are being performed, the cost estimate includes only the number of hours per labor category provided in the Scope of Work without an on-site/off-site breakdown. Ancillary expenses such as photocopying, legal research and travel will be billed at actual cost. Certain members of the monitoring team will be traveling from New York City to Cleveland, these transportation expenses will be billed at actual cost when needed. The ultimate cost of BakerHostetler’s activities will be driven, in part, by the state of the CDP’s data collection capabilities. The monitoring team will be required to provide technical assistance to the CDP, including recommending strategies to improve the documentation and review of the CDP’s use of force, internal affairs practices, and overall information and data analysis capabilities. Thus, the preparation of a detailed, definitive budget at this early stage may not be possible. Nevertheless, the attached projected budget sets forth our best estimate of the total cost of this project for the term of the Consent Decree in years one through five: Monitors & Counsel Police Experts Academics Data Analysts Total Year 1 Year 2 Year 3 Year 4 Year 5 Since our team will not have any one-time fixed costs that are expected regardless of the duration of the contract, the total estimated cost of this project can be derived by simply aggregating the estimated costs of years one through five. Under this proposal, and assuming that the requirements and the term of the Consent Decree or Scope of Work are not expanded, we anticipate the total projected cost of the contract will not exceed Application to Serve as Independent Monitor 23 Year 1 Estimated Fees*** Monitors & Legal Counsel Philip Banks Solutions, Inc. Police Practice Experts Academic Experts Data Analysts Total Hours**** Total Estimated Fees R Policy Review H F 525.00 150.00 225.00 300.00 200.00 1,400 R Technical Assistance H F 575.00 100.00 100.00 150.00 650.00 1,575 R Training Assessment H F R Incident Review H F 300.00 125.00 200.00 200.00 275.00 1,100 600.00 150.00 240.00 100.00 175.00 1,265 R Report Writing H F Base Year Total 500.00 25.00 75.00 100.00 100.00 800 6,140 Other Expenses Office Space Travel Sub-consultant Overhead Supplies Total Price** R = Rate H = Hours F = Fees (Rate x Hours = Fees) *This budget element is incorporated in the commercial rates being offered by the monitoring team. **All figures are estimates. ***Hourly rates reflect discounts from standard commercial rates. ****The allocation of hours are estimates, and may be adjusted based on the detailed work plan to be prepared with the DOJ and the City of Cleveland. Application to Serve as Independent Monitor 24 Year 2 Estimated Fees*** Monitors & Legal Counsel Philip Banks Solutions, Inc. Police Practice Experts Academic Experts Data Analysts Total Hours**** Total Estimated Fees R Policy Review H F 525.00 150.00 200.00 270.00 200.00 1,345 R Technical Assistance H F 525.00 50.00 50.00 75.00 475.00 1,175 R Training Assessment H F R Incident Review H F 298.00 186.00 200.00 150.00 100.00 934 600.00 200.00 240.00 100.00 125.00 1,265 R Report Writing H F Base Year Total 500.00 25.00 40.00 125.00 75.00 765 5,484 Other Expenses Office Space Travel Sub-consultant Overhead Supplies Total Price** R = Rate H = Hours F = Fees (Rate x Hours = Fees) *This budget element is incorporated in the commercial rates being offered by the monitoring team. **All figures are estimates. ***Hourly rates reflect discounts from standard commercial rates. ****The allocation of hours are estimates, and may be adjusted based on the detailed work plan to be prepared with the DOJ and the City of Cleveland. Application to Serve as Independent Monitor 25 Year 3 Estimated Fees*** Monitors & Legal Counsel Philip Banks Solutions, Inc. Police Practice Experts Academic Experts Data Analysts Total Hours**** Total Estimated Fees R Policy Review H F 525.00 120.00 170.00 240.00 200.00 1,255 R Technical Assistance H F 448.00 50.00 50.00 55.00 500.00 1,103 R Training Assessment H F R Incident Review H F 275.00 160.00 180.00 120.00 150.00 885 600.00 180.00 220.00 90.00 150.00 1,240 R Report Writing H F Base Year Total 500.00 25.00 25.00 110.00 100.00 760 5,243 Other Expenses Office Space Travel Sub-consultant Overhead Supplies Total Price** R = Rate H = Hours F = Fees (Rate x Hours = Fees) *This budget element is incorporated in the commercial rates being offered by the monitoring team. **All figures are estimates. ***Hourly rates reflect discounts from standard commercial rates. ****The allocation of hours are estimates, and may be adjusted based on the detailed work plan to be prepared with the DOJ and the City of Cleveland. Application to Serve as Independent Monitor 26 Year 4 Estimated Fees*** Monitors & Legal Counsel Philip Banks Solutions, Inc. Police Practice Experts Academic Experts Data Analysts Total Hours**** Total Estimated Fees R Policy Review H F 525.00 120.00 180.00 200.00 175.00 1,200 R Technical Assistance H F 434.00 50.00 50.00 75.00 410.00 1,019 R Training Assessment H F R Incident Review H F 200.00 150.00 180.00 200.00 125.00 855 600.00 180.00 190.00 100.00 100.00 1,170 R Report Writing H F Base Year Total 500.00 25.00 40.00 75.00 75.00 715 4,959 Other Expenses Office Space Travel Sub-consultant Overhead Supplies Total Price** R = Rate H = Hours F = Fees (Rate x Hours = Fees) *This budget element is incorporated in the commercial rates being offered by the monitoring team. **All figures are estimates. ***Hourly rates reflect discounts from standard commercial rates. ****The allocation of hours are estimates, and may be adjusted based on the detailed work plan to be prepared with the DOJ and the City of Cleveland. Application to Serve as Independent Monitor 27 Year 5 Estimated Fees*** Monitor & Legal Counsel Philip Banks Solutions, Inc. Police Practice Experts Academic Experts Data Analysts Total Hours**** Total Estimated Fees R Policy Review H F 525.00 120.00 160.00 180.00 150.00 1,135 R Technical Assistance H F 434.00 50.00 50.00 75.00 300.00 909 R Training Assessment H F 150.00 100.00 150.00 150.00 125.00 R Incident Review H F 600.00 150.00 150.00 100.00 100.00 675 1,100 R Report Writing H F Base Year Total 480.00 25.00 25.00 75.00 75.00 680 4,499 Other Expenses Office Space Travel Sub-consultant Overhead Supplies Total Price** R = Rate H = Hours F = Fees (Rate x Hours = Fees) *This budget element is incorporated in the commercial rates being offered by the monitoring team. **All figures are estimates. ***Hourly rates reflect discounts from standard commercial rates. ****The allocation of hours are estimates, and may be adjusted based on the detailed work plan to be prepared with the DOJ and the City of Cleveland. Application to Serve as Independent Monitor 28 AEEendix I: Consultant Team Member Resumes PHILIP BANKS III New York, New York (718) 909-4704 ♦ philipbanks1240@gmail.com SECURITY & LAW ENFORCEMENT EXECUTIVE Excelled in one of the highest profile security and law enforcement leadership roles in America Extensive executive level security and law enforcement experience spans a twenty-eight year career culminating in the highest-ranking uniformed position in the New York City Police Department – Chief of Department, reporting to the Police Commissioner. Oversaw and managed the day-to-day logistical and operational command of approximately 35,000 uniformed officers and 20,000 civilian professionals. A pragmatic and collaborative senior leader recognized for listening, gathering critical intelligence, developing and studying options, allocating resources, and taking decisive actions that ensure the security and protection of millions of people, the most sophisticated infrastructure in the world, and physical assets of unfathomable value. Worked closely with industry, civic, community, and religious leaders, and the public at large. Distinguished career planning, implementing, and overseeing comprehensive protective measures to prevent and/or abate threats of all kinds. Integrally involved in counterterrorism and the strategic development and enforcement of policies and operational practices that drew upon classified national and international intelligence. Adept at vulnerability assessment, security engineering design, antiterrorism protection, crisis management, risk management techniques, critical incident response, and high risk special event planning. Forged relationships – security, private sector, industry, and the public • Critical Infrastructure Protection Put programs in place that fostered cooperation and built synergies • Risk Management Conducted reviews and analyses of high risk infrastructure and assets • Counterterrorism Provided security for government and industry leaders – led planning and deployment of resources at some of the largest public events in America • Massive Asset Security Systems • Complex Inter-Agency Operations • Strategic & Tactical Planning • Operational Best Practices • Crisis & Emergency Management • Accountability & Reporting Set Vision – and led innovations that became standard operating practices Relentless implementing and overseeing risk management projects Reshaped, diversified, upgraded, and unified the NYPD culture Brought about order and control in the face of adversity, potential largescale threats of all kinds, and the looming possibility of natural disasters Hold TS/SCI Clearance – Completed programs at Harvard, Columbia, Naval Postgraduate School / Center for Homeland Defense and Security Career Synopsis _______________________________________________________________________ New York City Police Department 1986 – 2014 CHIEF OF DEPARTMENT March 2013 – Q4 2014 Promoted to serve as principal leader of the day-to-day logistical and operational command of the nation’s largest police force, consisting of approximately 35,000 uniformed officers and 20,000 civilian members.  Oversaw Patrol, Housing, Transit, Transportation, Organized Crime Control, Detective, and Community Affairs Bureaus. Ensured operational efficiency, and developed plans for optimizing and allocating resources.  Provided oversight of COMPSTAT (short for Compliance Statistics) - a comprehensive operational planning and performance management platform replicated by dozens of police departments nationally. Allows senior commanders to share tactical and strategic information and develop plans of action to improve quality of life, community engagement, and to achieve crime reduction. Controlled large scale public and private events. Held bi-weekly briefings, discussing intelligence received from federal, state and local levels, and collaborates with agencies at all levels to make assessments and formulate police response.    Oversaw In-house and Inter-agency Emergency Preparedness Exercises, integrated risk management and special communications capabilities – and ensured readiness for crisis and natural disaster scenarios. Responsible for testing and use of the latest technology; ensured security and swift response – and maintained security at tunnels, crossings, and bridges. Optimized Best Practices Portal - a forum to collaborate, formulate policies, and direct operations – and maintained relationships with public and private agencies and the public. July 2010 – March 2013 CHIEF OF COMMUNMITY AFFAIRS Responsible for all NYPD community relations programs, positive relationships with the private sector, industry and community leaders, civic organizations and the public. Led the second largest and newly re-structured Community Affairs Bureau consisting of Community Affairs Division, Crime Prevention Section, the Juvenile Justice Division, Youth Services Section, and the School Safety Division.      Developed strategies, events, and interactions that fostered positive relationships between the police and the diverse communities of New York City. Planned, coordinated, and implemented procedures to ensure safety at large demonstrations, parades, concerts, and extremely large sporting events. Responded, coordinated, and mobilized community affairs uniformed officers citywide for unusual incidents such as building explosions and plane crashes. Developed recommendations and executed crime prevention and safety surveys for hospitals, corporations, small businesses and home owners. Supported precinct commanders in eliminating and reducing patterns and trends of crimes. Formulated service forums for new immigrant communities. Supervised New York City School Safety Division - responsible for over one million students. Directed crime prevention safety procedures, with NYC Department of Education, for DOE employees and students. Managed new Juvenile Justice Division critical for operation “Crew Cut” which resulted in sharp reduction in youth crime. Developed and instituted new polices that reduce the criminalization of juveniles for offenses, offering alternatives to parents. Oversaw Youth Service Division which coordinated gang awareness and prevention programs. Oversaw all NYPD’s community relations and safety programs for large scale public school events. ASSISTANT CHIEF June 2009 - July 2010 Promoted to serve as Borough Commander Patrol Borough Manhattan North, a two-star executive position responsible for the delivery of all police services in the boroughs, supervising a staff of 2,300.  Implemented safety and crowd control plans for events at Central Park, in conjunction with NYC Parks Department. Conducted risk assessment plans for events and large-scale assemblages city-wide, and organized exterior security for all public areas, colleges, and businesses.  Developed crime and policing strategies. Maintained relationships with other city agencies. Developed and maintained rapport with private sector business leaders, community based organizations and universities . December 2006 – June 2009 DEPUTY CHIEF, PATROL BOROUGH BROOKLYN SOUTH Promoted to Borough Executive Officer, a one star executive position. Formed close working relationships with community groups, legislative leaders and university officials to prevent and resolve community concerns. Formulated crime reduction strategies. Met with the diverse religious population and served as traffic coordinator.  Provided operational and administrational leadership at the borough command level, including community affairs, communications, discipline, facility, logistics, supply management, personnel issues, property health and department custody, scheduling for executive subordinates, and court appearances.  Maintained quality assurance including inspections, audit reviews, data integrity and data quality. Supervised borough operations commanders. Provided borough strategic and tactical efficiency through equitable distribution of borough operational resources and operational oversight and support at borough command level, including housing developments covered by patrol services. Planned and executed crime control strategies.  Developed initiatives for quality of life improvement and maintenance, traffic management and safety, street narcotic enforcement, graffiti enforcement and removal and liaising with counterterrorism coordinators to ensure operational readiness for emergency preparedness and mobilization. Education __________________________________________________________________________________ Executive Leadership Program - Naval Postgraduate School /Center for Homeland Defense & Security Advanced Management for State and Local Senior Executives Harvard University, John F. Kennedy School of Government Advanced Senior Management Program - Columbia University Police Management Institute BBA, Lincoln University, Lincoln, Pennsylvania (Business Administration) 2 Resume: Philip Banks III  (718) 909-4704  philipbanks1240@gmail.com Overview of the Distinguished and Decorated Tenure of PHILIP BANKS III Chief of Department Philip Banks III, joined the New York City Police Department in July 1986, and began his career on patrol in the 81 Precinct. He was promoted to Sergeant in March 1994; Lieutenant in May 1997; Captain in September 1999; Deputy Inspector in June 2001; Inspector in December 2003; Deputy Chief in December 2006; Assistant Chief in June 2009 and Chief of Community Affairs in July 2010. He has served in the 70, 73, 79, 81, 90 and Central Park Precincts, Patrol Borough Brooklyn South, the Harbor Unit, and the School Safety Division Investigations Unit. Before being appointed Chief of Community Affairs in July 2010, Chief Banks served as Commanding Officer of Patrol Borough Manhattan North and also commanded the 79th, 81st and Central Park precincts. He served as Executive Officer of Patrol Borough Brooklyn South, and of the 73rd Precinct. Chief Banks holds a Bachelor of Science degree in Business Administration from Lincoln University, the historically black university in Pennsylvania, whose alumni include Langston Hughes and Thurgood Marshall. Chief Banks is a 2001 graduate of the Police Management Institute at Columbia University, and more recently completed advanced management training for Senior Executives in State and Local Government at Harvard University’s John F. Kennedy School of Government and the Executive Leaders Program in Counterterrorism at the Naval Postgraduate School, Center for Homeland Defense and Security, in Monterey, California. Chief Banks is also a member of the founding chapter of the philanthropic institution, 100 Black Men, Inc., whose past president is Philip Banks, Jr., Chief Banks’ father who retired as a lieutenant in the New York City Police Department after more than 26 years of service, which included co-director of the Police Commissioner’s security detail, Executive Officer of the Bias Crimes Unit, and Commanding Officer of the Recruitment Section. Chief Banks became the 37th individual to hold the post, which prior to 1973 was known as Chief Inspector and from 1973-1985 as Chief of Operations. Honors & Awards ____________________________________________________________________________ National Latino Officers Association Leadership Award: Recognition of Outstanding Leadership and Contribution to the Advancement of Policing, 2014 William Tucker Garvin Public Service Award, 2014 Outstanding Police Contribution in the Criminal Justice System, New York State Bar Association, 2014 Outstanding Dedication and Tireless Efforts on Behalf of our Community at Large, NYS Assembly Citation, Michael G. Miller - Legacy Center, 2012 Citizen of the Year Award - Omega Psi Phi Fraternity, Alpha Upsilon Chapter, 2010 Outstanding Commitment to Fostering Strong Community Relations, Office of Comptroller, 2006 Affiliations __________________________________________________________________________________ International Association of Chiefs of Police NYPD Guardians Association National Organization for Black Law Enforcement Executives (NOBLE), New York Chapter 100 Black Men Inc. Phi Beta Sigma Fraternity, Mu Chapter 3 Resume: Philip Banks III  (718) 909-4704  philipbanks1240@gmail.com Colonel Kenneth L. Morckel (ret) Director, Law Enforcement/Homeland Security Services Colonel Ken Morckel recently served as Director of the Ohio Department of Public Safety (ODPS) from 2003 to 2007. In this cabinet-level position, Col. Morckel administrated and advised the Governor on issues relating to the eight divisions within the ODPS; Homeland Security, Ohio State Highway Patrol, Bureau of Motor Vehicles, Emergency Management Agency, Emergency Medical Services, Ohio Investigative Unit, Criminal Justice Services and Administration. Prior to being named ODPS Director in 2003, Col. Morckel served nearly 29 years in the Ohio State Highway Patrol (OSHP) and was named the 13th Superintendent of the OSHP in 2000. As OSHP’s Superintendent, Colonel Morckel's contributions to professional police services and Homeland Security will have a lasting impact on the safety of motorists in Ohio. He coordinated innovative procedures to counter bias-based policing that included the implementation of policy and training initiatives, an eight-step development process, and added web pages listing all traffic stop diversity data and statistics, along with complaint statistics. Through his leadership, Ohio made tremendous progress in strengthening its capabilities to prevent, protect, respond to and recover from potential acts of terrorism. He focused on forming key partnerships to develop and implement innovative programs to improve interoperable communications and information-sharing capabilities for Ohio’s law enforcement officers, fire services and EMS providers. As ODPS Director, Colonel Morckel chaired the State of Ohio Security Task Force, a 23-member committee that advised the Governor on strategies for coordinating and strengthening Ohio’s homeland security initiatives. He served as Ohio’s point of contact to U.S. Department of Homeland Security becoming a nationally-recognized and respected leader on homeland security issues. As ODPS Director, he served as Ohio’s representative on the National Governor’s Association Homeland Security Advisors Council and was appointed to the Interoperable Communications Sub-Committee. Colonel Morckel also chaired the Multi-State Public Safety Communications Consortium, an informal association of seven midwestern states dedicated to the development of interoperable communications for all first responders. He was a ten year supporter and four year member of the Ohio Multiple Agency Radio Communications System Steering Committee (MARCS) and saw it grow into one of the premiere LMR systems in the U.S. He received the prestigious "Legacy Award" from the Ohio Association of Chiefs of Police in 2006 for his significant accomplishments in advancing Ohio’s law enforcement and homeland security initiatives. The Ohio Division of Homeland Security saw extraordinary growth and advancement under Colonel Morckel’s leadership. The OHS established an information sharing center involving more than 30 agencies from state and federal government, law enforcement and fire services. OHS also created a Multicultural Relations Office-one of the first of its kind in the nation-to promote cooperation, mutual respect and harmony among Ohio’s diverse communities and law enforcement agencies. Colonel Morckel is currently Director of Law Enforcement/Homeland Security Services for First Response Enterprises, LLC. His company provides strategic consulting services to a broad range of clients specializing in first responder communications and resource allocation. Since 2007 Col Morckel has traveled to 42 of the 50 states offering his services regarding the funding and governance of Statewide Land Mobile Radio (LMR) Systems, next generation Long Term Evolution (LTE) communications, and Data Driven Approaches to Crime and Traffic Safety (DDACTS). These services have involved the enhancement of a variety of law enforcement and homeland security mission critical responsibilities focused on prevention, protection, response and recovery. He continues to be a very active member of the International Association of Chiefs of Police working with the Division of State and Provincial Police, IACP Traffic Safety Committee, and the IACP Homeland Security Committee. . CHIEF JAMES D. NICE AKRON POLICE DEPARTMENT James D. Nice was sworn in as the fifteenth Chief of the Akron Police Department on June 3, 2011. Chief Nice was born and raised in Akron. He is a 1972 graduate of Kenmore High School. Chief Nice served in the U.S. Navy from January 1973 until December 1976. He returned to Akron and graduated from the University of Akron in 1980 with a Bachelor of Science degree in Education. Chief Nice taught, and coached wrestling, in Plano, Texas from 1981 through 1985. While there, he obtained a Master of Science degree in Education from East Texas State University and a Master of Business Administration from the University of Dallas. Chief Nice graduated from the Federal Bureau of Investigation (F.B.I.) Academy in Quantico, Virginia in 1985. He was assigned to the following offices during his tenure with the F.B.I.: Honolulu: 1985-1989 - Special Agent (Investigator and SWAT) Los Angeles: 1989-2005 – Special Agent (Investigator of violent crimes/ gangs, undercover agent and SWAT) 2000-2005 –Supervisory Special Agent (violent crimes/gangs) Washington, D.C. (Headquarters): 2005-2006 – Supervisory Special Agent (Undercover Operations) Cleveland: 2007-2008 – Special Agent (Investigator and Undercover Agent) Washington, D.C. (Headquarters): 2008-2009 – Supervisory Special Agent (Undercover Operations) 2010-2011 – Chief (Undercover and Sensitive Operations) CHIEF JAMES D. NICE AKRON POLICE DEPARTMENT While working in the Los Angeles based F.B.I Office, Chief Nice apprehended a 2002 “Ten Most Wanted” fugitive. While in Los Angeles, he was nominated for both the F.B.I. Director’s Award as well as the United States Attorney General’s Award for Excellence. Chief Nice played an instrumental role in investigating the Los Angeles riots as well as the 9/11 terrorist attacks. Additionally, he is one of a very few select F.B.I. special agents to perform undercover assignments in foreign countries as well as teaching law enforcement courses all over the world. During his first year, Chief Nice attended the Ohio Peace Officer Training Academy and earned his certification as a sworn Ohio Police Officer. He also completed the yearlong “Leadership Akron” program. Akron’s 450 Officers, 55 Reserves and 40 Civilians and 51 Safety Communications Technicians serve a community of 198,100 citizens over an area of 62 square miles. Chief Nice is happy to serve the citizens of Akron. Chief Nice has implemented several new units in the police department: the Anti-Violence Bureau, Heroin Investigative Unit, Gun Violence Reduction Tactical Team and Neighborhood Response Team. There have been 90 new officers hired since 2012 under Chief Nice’s tenure. Chief Nice is committed to instituting more changes in the Akron Police Department that will enable it to run more efficiently. He is also working to enhance the department’s relationship with the community as well as other City of Akron departments. JAMIE TAVANO Mentor, Ohio Experience Commander, Lakeland Community College Police Academy 2010 to present Responsible for Lakeland’s Regional Basic Police Academy, which is administered by the Department of Continuing Education, in conjunction with the Ohio Peace Officers Training Council (OPOTC). The curriculum includes all topics required by the OPOTC. Assistant Commander, Lakeland Community College Police Academy 2006 to 2009 Kirtland Police Department 1998 to present • Field Training Supervisor • Department Training Officer East Cleveland Police Department 1988 to 1995 • S.W.A.T team leader • Motorcycle patrol • Crash investigator Certified Ohio Peace Officer Training Academy Unit Instructor 1997 to present Education and Training • Bachelor of Arts Criminal Justice • 1989: Graduate of the Cleveland Hts. Police Academy • 2002: Graduate of Northwestern University School of Police Staff and Command • 2003: Graduate of the F.B.I. National Academy • Over 2,500 hours of additional law enforcement training Additional • Written numerous policy and procedures for multiple police departments • Developed in-service training including PowerPoint slideshows • Produced an in-service traffic stop training video • Coordinated multi-agency training for response to an active shooter • Added additional less-than-lethal (Taser, expandable baton, and OC spray) classes at the Lakeland Community College Police Academy. Gregory Hagarty, CPA, CFF, MST Cell: (516) 308-8640 GHagarty@AlphaGP.com PROFESSIONAL EXPERIENCE Alpha Group Manager  March 2015 – present Started firm’s forensic accounting practice including fraud investigations, asset tracing and various white collar investigations. Federal Bureau of Investigation Special Agent/Acting Supervisor 1989 – Feb 2015  Acting Supervisor of squad covering all of Long Island, New York. Managed highly sensitive public corruption investigation resulting in the sealed guilty pleas of ranking members of the military. Managed squad of eight agents investigating more than 70 complex cases including a multi-state wiretap investigation and a disability fraud investigation with more than twenty defendants. Resolved squad’s case related issues with the Chief of the United States Attorney’s Office. Successfully implemented the FBI’s changing strategy targeting specific white collar objectives while effectively utilizing resources. Gave presentations to various non-law enforcement groups on white collar related topics. Oversaw budgets for all cases on squad. Ensured proper professional development of staff.  Co-Case agent on the multi-billion dollar fraud investigation into Bernard L Madoff Investment Securities. Coordinated all aspects of multi-faceted investigation including efforts with the SEC, IRS and Department of Labor. Co-managed detailed review and analysis of 30,000 boxes of documents for evidence. Prepared witnesses and coordinated evidence against key Madoff employees for presentation to the prosecuting United States Attorneys. Utilized various technologies and software to mine digital evidence. Managed independent contractors employed to assists in investigation.  Managed a complex mortgage fraud investigation involving more than $30 million in loans resulting in the arrest of six defendants and the inclusion of over 20 properties in a criminal forfeiture. Organized and subpoenaed more than 80 loan files and numerous bank accounts. Coordinated the acquisition of and analyzed forensically obtained digital evidence resulting in the discovery of significant incriminating evidence. Reduced results of complex matter into an easily understandable, comprehensive communication. Testified at length in the grand jury.  Directed the investigation of a complex $62 million multi-jurisdictional Ponzi scheme that utilized shell companies, foreign bank accounts and attorney escrow accounts. Traced flow of funds of more than $200 million in high velocity transfers. Detailed analysis of extensive evidence and successful interview techniques led to a quick guilty plea by subject.  Worked numerous investigations focusing on New York’s organized crime families, specializing in the Gambino and Luchese Families. Integral part of the investigative and trial team that convicted John Gotti. Testified extensively as the FBI’s organized crime expert witness in numerous high profile, media intensive investigations including the labor racketeering case against Peter Gotti in the Waterfront Trial. Recruited and operated top echelon mafia informants and cooperating witnesses, including Salvatore “Sammy Bull” Gravano. Gregory Hagarty, CPA, CFF, MST Cell: (516) 308-8640 GHagarty@AlphaGP.com  Investigated organized crime’s infiltration of various labor unions including Local 282 and 238. Debriefed organized crime hierarchy and confidential informants about methods and depth of organized crime’s hold on unions.  Case manager on successful investigation into outlaw bikers resulting in the conviction of more than twenty defendants that won a national award from the Federal Law Enforcement Officers Association. Testified as the FBI’s expert witness at biker trial.  Worked with another government agency on a daily basis in support of the United States Intelligence Community. Successfully used creative strategies to enhance intelligence gathering capabilities and earned awards recognizing these innovative approaches. Managed numerous large budget projects, maximizing the effectiveness of money spent.  Overseas deployments include Dar es Salaam, Tanzania and Afghanistan. Afghanistan deployment part of the ISAF Improvised Explosive Device Initiative targeting ranking members of the Taliban. Participated on raids with U.S. and other ISAF Special Forces of Taliban commander compounds in Wardak, Logar and Kabul Provinces.  Twelve year veteran of the FBI’s New York Office SWAT Team. Executed high risk arrests and search warrants. Conducted VIP protection including FBI Director and U.S. Attorney General domestically and internationally. Coopers & Lybrand Staff Accountant/Audit Supervisor • • • • 1986-1989 Directed team auditing broker-dealer clients. Deep experience with initial public offerings for collateralized mortgage obligations. Clients included shipping and logistics firms in off-peak season. Reported to audit manager and worked with client’s Controller, CFO and staff. EDUCATION & DEVELOPMENT Baruch College, C.U.N.Y., Master’s Degree in Taxation, 2006 Baruch College, C.U.N.Y., Bachelors in Business Administration, 1986 Reid Technique of Interviewing and Interrogation, Basic and Advanced Basic and Advanced Forfeiture SWAT Certified PRESENTATIONS     American Women’s Society of CPAs Women’s Annual Leadership Conference, New Jersey, June 2014, “The Madoff Case” FBI Citizens Academy and RBC Wealth Management, Arizona, November 2011, “Epic Fraud: An Arresting Story of Madoff’s Unraveling.” FBI Academy, Virginia, October 1998, “Major Case Management Techniques” People’s United Bank, Middle Market Clients, June 2014, “Tales of Fraud and Practical Prevention Methods” DAVID A. LYONS International Research Group, Inc. River Terrace, Suite 300 19111 Detroit Road Cleveland, Ohio 44116 (440) 333-6602 EDUCATION Masters of Business Administration (MBA), Business Information Systems Baldwin Wallace College, Berea Ohio, 1982 Bachelor of Business Administration (BBA), Major Accounting Ohio University, Athens, Ohio, 1977 CERTIFICATIONS Certified Public Accountant (CPA), 1985, Ohio license No. 18937 (inactive status) Certified Fraud Examiner (CFE), 1993, Certificate 16888 Anti-Money Laundering Professional (AMLP), January, 2008 EXPERIENCE International Research Group, Inc. (IRG) Senior Investigator 4/1/2013 – Present Responsibilities and Duties • Provided general investigative, financial investigative and forensic accounting services to individual, corporate and legal clients. KeyBank Vice President, Manager, Retail Fraud Operations 12/2/2011 – 03/31/2013 Responsibilities and Duties • Responsible for the comprehensive nationwide fraud detection services for KeyBank • Supervisory responsibility for two fraud detection teams comprised of (30) Fraud Specialists located in Albany, New York and Tacoma, Washington. • Responsible for the safeguarding of all client transactions through the use of sophisticated data filtering software • Responsible for the review and completion of a root cause analysis of all large losses incurred. • Initiated Lean Six Sigma program to bring efficiency and effectiveness to the work processes KeyBank Vice President, Manager, Background Investigation Unit 9/2/2008 – 12/2/2011 Responsibilities and Duties • Responsible for managing nationwide background investigations conducted for all newly hired employees and for continuous internal investigations conducted on existing employees of KeyBank. KeyBank has approximately 15,500 employees and hires approximately 4,000 new employees per year. • Supervised staff of six Investigative Specialists • Partner with Employee Relations Department on the enforcement of Employee Code of Ethics • Developed re-investigation program for bank employees • Developed enhanced due diligence reporting capabilities for major commercial loans. • Developed investigative process and procedures necessary to comply with the Federal registration of Mortgage Loan Originators (MLO) • Program manager for employment drug screening and fingerprinting • Responsible for vendor management • Responsible for the hiring, training and development of new staff • Responsible for departmental budget and cost controls International Research Group, Inc. (IRG) 7/2008 - 9/2008 Private Investigator Responsibilities and Duties • Provided general investigative, financial investigative and forensic accounting services to individual, corporate and legal clients. Stout Risius Ross, Inc. 1/2008 – 6/2008 Manager, Fraud Investigations Responsibilities and Duties • Provided fraud consulting services and litigation support to law firms and corporate clients. The services provided included forensic accounting, internal investigations, shareholder disputes, embezzlements and theft of trade secrets. • Presented speeches and fraud awareness seminars to the legal and forensic accounting communities. Federal Bureau of Investigation (FBI) 1/1986 – 12/2007 Special Agent Criminal Investigator Responsibilities and Duties: • During my career as a Special Agent (SA) with the Federal Bureau of Investigation (FBI) my assignments involved the investigation of complex white collar crime criminal matters. The investigations involved major bank failures, insurance company failures, bank embezzlements, bank robberies, wire and mail fraud schemes, security and investment fraud, Ponzi schemes, computer crime, crimes against children on the internet, computer hacks and intrusions, public corruption, health care fraud, government fraud matters and background investigations. • • Responsibilities and duties included the following: o Developed information and compiled evidence concerning violations of Federal Criminal Statues o Planned, organized and directed criminal investigations o Conducted extensive interviews of criminal subjects and witnesses o Produced detailed reports of interviews and investigation conducted o Conducted forensic accounting reviews of financial and electronic evidence o Organized and managed large quantities of evidence o Prepared schedules, flowcharts and analysis of financial transactions involved in complex fraud schemes. o Compiled detailed written affidavits in support of Federal Arrest, Search and Forfeiture warrants in addition to the oral presentation of facts to the authorizing judge or magistrate o Compiled comprehensive Prosecutive reports for submission to the United States Attorney’s Office. o Provided trial testimony in United States District Court and testified before Federal Grand Juries over seventy five times. o Developed and presented speeches on topics to include; financial fraud, identity theft, crimes against children on the internet and corporate infrastructure protection. Delivered keynote speech at the International Computer Crime Symposium held in Shirahama, Japan o Responsible for liaison with corporate security directors and local law enforcement officials. o Responsible for the development of human intelligence sources and cooperating witnesses to assist in the criminal investigations. o Compiled detailed background investigation reports on Department of Justice (DOJ) employment candidates and presidential appointments o Currently hold Top Secret/SCI government security clearance During my career the following accomplishments and awards were obtained. Accomplishments o Member of the FBI Special Weapons and Tactics (SWAT) team for the New Orleans and Cleveland Divisions o Member of the FBI’s Special Operations Group (SOG) o Developed a Major Case (LaFraud) to investigate the failure of the federally insured banks and savings and loans located in the state of Louisiana. o Member of investigative team assigned to examine the public corruption in the gaming industry in New Orleans, Louisiana. Investigation resulted in the conviction of Former Governor Edwin Edwards and numerous associates. o Member of investigative team assigned to probe the corruption of a federal district judge. Investigation led to the conviction of federal District Judge Robert F. Collins. o Developed Infragard, the FBI’s nationwide program for Corporate Infrastructure Protection, from a pilot program in Cleveland to an organization of over 10,000 corporate members. This program was developed as a partnership by the FBI with the corporations located within each divisional territory. The mission of the organization was for a sharing of security information which would result in a greater security of the critical infrastructures of the United States. o Developed in Cleveland a covert investigation (Innocent Images) and a county wide task force to combat crimes against children on the internet. The task force became one of the most successful online investigative efforts in the FBI. o Designated Senior Resident Agent (SRA) of the Elyria Resident Agency office of the FBI, 2002-2005. o Designated Training Agent for new Special Agents o Participated in the assessment and evaluation of new Special Agent candidates Awards o Received commendation from FBI’s Inspection Division for improvements made to the internal audit procedures of the New Orleans Division. o Awarded Four Quality Service Awards of Excellence o Awarded Seven Cash Incentive Awards for meritorious service o Received Distinguished Service Award from the Northern Ohio Chapter of Infragard o Received the Director of the FBI’s Certificate of Achievement Award for the management of the Elyria office of the FBI. o Nominated for the United States Attorney General Award for Excellence based upon the national success of the Infragard program. INTERNATIONAL MANAGEMENT GROUP (IMG) 9/1981 – 12/1985 Cleveland, Ohio Financial Accountant • Responsibilities included the compilation of personal financial statements, cash management reports and net worth reports for IMG clients. IMG, the world’s largest sports management firm, provided comprehensive personal financial services to professional athletes. Served also as a member of the corporate accounting staff and was responsible for compiling corporate financial statements and performing internal audits. FORD MOTOR COMPANY 9/1978 – 9/1981 Cleveland Engine Plant Brookpark, Ohio Staff Accountant • Duties and responsibilities included accounting assignments in both the cost accounting and property accounting departments for the Ford Motor company engine production facility. I was a member of the Ford Motor Company management training program. CITY OF EAST CLEVELAND 7/1977 – 9/1978 East Cleveland, Ohio Deputy Finance Director • Performed wide range of governmental accounting duties assisting the finance director of the municipality. Handled project of computerizing the cities municipal accounting records. Oversaw the payroll and water department billing functions. Served as the lead information technology officer. REFERENCES: Available upon request Maureen Spencer 24-33131st Road Rosedale, New York 11422 646 522 9607 msnenfor@cs.com , I NEWYORK STATE OFF'ICE OFTHE INSPECTOR GENERAL Deputy Chief Investigator Retired June 2006 2000 - 2006 I .sr Promoted to Deputy Chief lnvestigator - November 2003 Responsibilities extended to include the entire New York Gity Ofrice of the lnspector General (OSIG) investigative staffs program and investigative strategy planning for additional agencies covered by OSIG. Develop office security initiatives and disaster planning policies and procedures. Coordinate and interface with city, state and federal law enforcement and prosecution agencies regarding investigations of mutual interesf, Accepted the position of Deputy lnspector General (DlG) in November 2000 to supervise team of investigators assigned to the Licensing and lnspection Unit. Provide planning, direction and control of highly confidential and sensitive investigations involving crime and cornrption committed by public officers and contractors of five licensing and inspection agencies: Department of Motor Vehicles, Division of Lottery State Liquor Authority, Department of Agriculture and Markets and, the Racing and Wagering Board. Develop and implement programs and activities for the prevention of such activity, Developed and implemented program training and seminars for OSIG as well as institutions and departments regarding security and compliance to NYS law and practices. SPECIAL COMPtrSSIONER OF INMESTIGATION F'OR THE FIYC SCHOOL DISTRICT 1997 - 2000 Deputy Chief Promoted to Deputy Chief lnvestigator -August 1997. Administrative and technical responsibility for planning and organizing agency investigations of crime, corruption or misconduct involving Board of Education (BOE) officials and contractors. Supervised Team Leaders, lntake and Technical Support Units. Served as EEO Officer. Participated in hiring and training investigators for the SGl. Conducted out reach programs within the BOE as well as other law enforcement agencies. Investigator Manager 1993-1997 Recruited by the Special Commissioner of lnvestigation to supervise the newly designated Child Sex Abuse Task Force consisting of eight investigators, to investigate allegations of sexual abuse against Board of Education (BOE) employees and making arrests when warranted. Screened all complaints of sex abuse as reported to the SGI and assigned case investigations as necessary. Assigned by the Special Commissioner of lnvestigation to represent SGI as a member of the Joint Commission of the Chancellor and the Special Commissioner for the Prevention of Child Sexual Abuse. Participated in writing the final report of the Commission. Team NAW YORI( CITY POLICE DEPARTMENT IW3 . 1993 Detective New York County DistrictAttomey's Squad 1990 - 1993 Conducted long-term investigations into organized criminal activity, as well as investigations of complex financial crimes including embezzlement, credit card fraud and racketeering. Continued assignment as sole Detective assigned to the Sex Crimes Prosecution Unit, working directly with the unit chief. Served as resource to District Attorney's staff investigating sex crimes and allegations of child abuse. Manhattan Sex Crimes Squad 1982 - 1993 Liaison between NYPD investigation squads and the District Attomey's Sex Grimes Prosecution Unit. Screened all felony sex crime complaints directed to the District Attorney's Office. lnterviewed complainants, arresting officers, and other witnesses pertinent to case preparation; investigated and checked facb of cases; based on findings, submitted written reports to chief of Sex Crimes Prosecution Unit recommending appropriate course of aetion. Assisted in trial preparation. Participated in training seminars and training of investigators and victim advocates. EDUCATION: Brooklyn College, City University of NewYork: Bachelor of Arts, 1973 Marist College: Master of Public Administration,20A4 JONATHAN WITMER-RICH Cleveland-Marshall College of Law, Cleveland State University 2121 Euclid Avenue, LB 138, Cleveland, Ohio 44115 (216) 687-2535 · j.witmerrich@csuohio.edu FACULTY POSITIONS Cleveland-Marshall College of Law, Cleveland State University Associate Professor of Law 2014-present Assistant Professor of Law 2009-2014 Courses: Criminal Law, Criminal Procedure I, Criminal Procedure II, Legal Responses to Terrorism Awards: • 2010 Ohio Faculty Innovator Award from Chancellor of the Ohio Board of Regents • 2015 Cleveland-Marshall Alumni Association Stapleton Award Case Western Reserve University School of Law Adjunct Professor of Law 2008 EDUCATION University of Michigan Law School, J.D, magna cum laude, December 2000 • Maurice Weigle Scholarship Award • Certificates of Merit in Criminal Law, Contracts, Labor Law, Legal Ethics • Order of the Coif • Michigan Law Review, Associate Editor, 1999-2000; Contributing Editor, 2000-2001 Goshen College, B.A., December 1997 LEGAL EXPERIENCE Research & Writing Attorney, Federal Public Defender, N.D. Ohio, 2006-2009 Associate, Jones Day (Cleveland) 2003-2006 Judicial Clerk · Hon. Joseph R. Goodwin, U.S. District Court for the S.D. West Virginia, 2002-2003 · Hon. M. Blane Michael, U.S. Court of Appeals for the Fourth Circuit, 2001-2002 1 ARTICLES & WORKS IN PROGRESS The Fatal Flaw of the “Sneak and Peek” Statute and How to Fix It, 65 CASE WESTERN RESERVE LAW REVIEW 121 (2014) The Rapid Rise of “Sneak and Peak” Searches, and the Fourth Amendment “Rule Requiring Notice,” 41 PEPPERDINE LAW REVIEW 509 (2014) It’s Good to be Autonomous: Prospective Consent, Retrospective Consent, and the Foundation of Consent in the Criminal Law, 5 CRIMINAL LAW & PHILOSOPHY 377 (2011) (peer-reviewed) Interrogation and the Roberts Court, 63 FLORIDA LAW REVIEW 1189 (2011) Corporate Complicity Claims: Why There Is No “Innocent Decision-Maker” Exception To Imputing An Officer’s Wrongdoing To A Bankrupt Corporation, 74 TENNESSEE LAW REVIEW 47 (2007) (with Mark Herrmann) -Cited with approval, In re CBI Holding Co., 529 F.3d 432, 447 n.5 (2d Cir. 2008). The Provocation Doctrine: Blameworthy Reasons to be Angry (work in progress) (offering a solution to the puzzle, in the provocation doctrine, of whether the law should examine the “reasonableness” of the provocation from the perspective of an objective reasonable person, or from the perspective of someone who shares the defendant’s specific cultural or religious beliefs) Consenting to Sex: Communication, Confusion, and Consent Defaults (work in progress) (responding to recurring claims by various theorists that the liberal concept of “consent” is an inadequate, inappropriate, or incomplete mechanism for regulating sexual interactions) PRESENTATIONS Cleveland's Consent Decree: The Path Forward, Cleveland-Marshall College of Law, April 8, 2015 (moderator) Criminal Justice Forum: Ferguson, Staten Island and Cleveland: A Legal Discussion about the Use of Lethal Force by Law Enforcement Officers, Cleveland-Marshall College of Law, January 26, 2015 (panelist) The Fatal Flaws in the ‘Sneak and Peek’ Statute, and How to Fix It, CrimFest 2014, Rutgers School of Law—Newark, July 22, 2014 Criminal Justice Forum: The Rapid Rise of ‘Sneak and Peek’ Searches, and the Fourth Amendment ‘Rule Requiring Notice’, Cleveland-Marshall College of Law, March 20, 2014 2 JFK’s Assassination and the Law: 50 Years Later, (presenter on Lee Harvey Oswald’s Interrogation), Cleveland-Marshall College of Law, December 6, 2013 The Fatal Flaw in the ‘Sneak and Peek’ Statute, and How to Fix It, Central States Law Schools Association Annual Conference, University of Arkansas School of Law, Fayetteville, Arkansas, October 5, 2013 New Ideas for Practical Use by Practitioners, Federal Criminal Practice Seminar, Cleveland, Ohio, August 16, 2013 (with Professors Richard D. Friedman and Eve Brensike Primus) The Provocation Doctrine and Tolerable Reasons to be Angry, Law & Society Association Annual Meeting, May 31, 2013 The Provocation Doctrine and Tolerable Reasons to be Angry, DePaul University College of Law, Junior Faculty Exchange Presentation, January 31, 2013 Covert, Delayed Notice Searching: A Constitutional and Policy Failure—and a Solution, ABA Criminal Justice Section and the AALS Section on Criminal Justice’s Joint Legal Educators Colloquium: Round Table Workshop, October 25, 2013 The Provocation Doctrine and Tolerable Reasons to be Angry, Central States Law Schools Association Annual Conference, Cleveland-Marshall College of Law, October 19, 2012 Delayed-Notice Search Warrants: A Constitutional Assessment, Duquesne University School of Law, Junior Faculty Exchange Presentation, February 22, 2012 Criminal Justice Forum II, Constitution Day: Mapp v. Ohio and The Exclusionary Rule, Cleveland-Marshall College of Law, September 20, 2011 The Problem of Prosecuting Acquaintance Rape: How the Criminal Justice System Responds to Harms in Private Relationships, Ohio Legal Scholarship Workshop, Cleveland-Marshall College of Law, June 23, 2011 (presenter and organizer) Interrogation and the Roberts Court, Law & Society Association Annual Meeting, San Francisco, June 2, 2011 Interrogation and the Roberts Court, Ohio Legal Scholarship Workshop, Capital University Law School, February 5, 2011 BLSA Forum on the Lucasville Prison Riots, featuring Niki Schwartz and Staughton Lynd, Cleveland-Marshall College of Law, November 10, 2010 (moderator) Fundamentals of Criminal Law and Procedure in the N.D. Ohio, Cleveland Metropolitan Bar Association Federal Court Training Seminar, December 2, 2010, and December 6, 2011 3 University of Toledo School of Law Symposium: The Military Commissions Act of 2009: Back to the Future or the Fix for a Flawed System?, February 19, 2010 (moderator) Presenter: Dissecting Rita v. United States: What It Means and What It Might Mean, July 27, 2007, Carl B. Stokes United States Courthouse, Cleveland, Ohio. SERVICE External Counsel to the Criminal Rules Subcommittee, Commission on the Rules of Practice and Procedure in Ohio Courts, 2010-present Law School Bar Passage Committee Judicial Clerkship Committee Criminal Justice Forum Speaker Committee Faculty Affairs Committee Curriculum Committee (chair, 2011-2013) Strategic Priorities Committee (elected) Strategic Plan Task Force Teaching Committee University Faculty Senate representative, 2012-2014 (elected) Faculty Senate Steering Committee, 2012-2013 (elected) MEMBERSHIPS American Bar Association Law & Society Association Ohio Bar, 2001-present Court Admissions United States Court of Appeals for the Fourth Circuit United States Court of Appeals for the Sixth Circuit United States District Court for the Northern District of Ohio 4