Staying Out of the Storm

Texas Police Chiefs Association Foundation Law Enforcement Best Practices Recognition Program

 Assessor Training required to participate as a Team Leader or Assessor after January 2011  Assessors are Critical to success of the Recognition Program  Encourage Chiefs and Command Staff Members to get training and participate as Assessors

 Program History  Definitions  Assessor Duties and Responsibilities  Assessor Discretion and Authority  Assessor Activities  Initial Visits  Initial Compliance Reviews  On-Site Final Reviews

 Standard Interpretation  Requirements  How Much is Enough  The Final Word  Code of Ethics

 TPCA Membership interest expressed in 2004  Committee developed original standards and tested with two cities in 2006  Program formally introduced in April 2007  Current Status:  95 Recognized Agencies  30 In Formal Recognition Process  166 Standards  One of 25 other State Programs

 Assessors –Chiefs of Police, Command level officers, or Program Managers that have been trained specifically in the Assessment Process and have been carefully selected by the Recognition Program to conduct Initial and Final On-Site assessments of candidate agencies.  Best Business Practices – Also referred to as Best Practices or Standards, are a compilation of law enforcement practices and requirements determined by the Recognition Committee to be the most appropriate for Texas Law Enforcement agencies.

 Compliance Files – Files created for each of the Best Practices which contain the Candidate Agency’s Proofs of Compliance with that standard.  Document Submission Form – A form designed to facilitate and document submission of proofs of compliance and explain the content of the proofs submitted.  Electronic Submission Process – The method of submitting over two thirds of the required proofs of compliance via the Recognition Program website and having those proofs reviewed and accepted prior to the Final Compliance Review.

 Final Compliance Review – An onsite evaluation by a Police Chief and one or two Assessors not associated with the Candidate Agency. This Final Review Team will ensure compliance with those Best Practices which require visual confirmation of compliance. The Team Leader prepares a report of their findings which is submitted to the Recognition Committee for their action.  Full Review Process – The method of utilizing only paper files for proving compliance with Best Business Practices. This is the alternative process to using Electronic Submission and will result in a slightly longer Final Compliance Review.

 Initial Compliance Review – An onsite evaluation conducted by an Assessor to ensure the agency’s files are ready for visual confirmation during the Final Review process. This informal review is designed to assist Candidate Agencies achieve Recognized status with the least cost and difficulty.  Initial Meeting – Is a meeting between the Candidate Agency and an Assessor to start the Internal Review Process. The Facilitator conducting the Initial Meeting will conduct an inspection of the agency facility to identify any physical or equipment issues which would pose a problem in gaining recognized status.

 Internal Review Process – The process where a Candidate Agency reviews its policies, procedures, and operations to ensure it meets the Best Practices. Proofs of Compliance are collected and placed in Compliance Files. Many of the Proofs may be submitted electronically to the Program Coordinator for acceptance.  Paperless File Process – The process where agencies maintain all their files electronically and when conducting an n-site final Review, the Assessors review files on a computer instead of in paper files..

 Program Coordinator – An individual assigned to a candidate agency with overall management oversight of the program. The Texas Police Chiefs Association currently contracts with an outside agency to conduct Program Coordination and ensure the integrity of the process.  Program Manager - The person designated by the Chief of Police to administer and oversee the Recognition program for the Candidate Agency. This may be a sworn or non-sworn member of the agency or may be a community volunteer. In some agencies the Program Manager may be the Chief of Police.

 Proofs of Compliance – Any written or visual evidence which proves the agency is complying with the Best Practice. This can be written documentation, copies of reports, logs, and internal memorandums, interviews with agency employees, visual observation of activities, operations, facilities, equipment, or any other evidence which tends to prove the agency is in compliance with Best Practices.  User’s Group – A voluntary association of Chiefs and Program Managers, whether in the Recognition Program or not, that participate in assisting each other in achieving recognition through the sharing of ideas, policies, and procedures.

 The Recognition Committee!  9 Chiefs of Police from around the State  Committed to the Recognition Program  Meets regularly to review standards, add new requirements, delete unneeded standards, and review program operations.  Votes on awarding Recognized status to Candidate agencies.

 The “Eyes and Ears” of the Recognition Committee  Fairly and objectively evaluate candidate Agencies’ compliance with Best Practices  Provide support and advice to candidate agencies  Exemplify Professionalism in Law Enforcement

 A Chief of Police or agency Chief Executive Officer trained as an Assessor  Responsible for all on-site activities  Assigns duties when on-site  Responsible for Final Report to the Committee

 A Chief of Police, Command Level Officer, or Program Manager who has been trained as an Assessor  Conducts Initial Visits, Initial Compliance Reviews, and assists with On-site assessments.

 Expected to apply their knowledge, experience, Assessor training and reference materials in evaluation of Candidate agencies.  Standards are the benchmark!  Discussion Section and Evaluator’s Review section provided to guide Assessors in what is required for acceptance.

 May go beyond those things listed on Evaluator’s Review in order to determine compliance.  Agencies may use other methods of proof.  Assessor may determine compliance by observation or interview.

 Must hold all agencies to compliance with all parts of all applicable standards!

 Example:  Standard says “The Agency has a written directive that sets a time limit for completion of Internal Investigations including disciplinary action, if necessary, and includes procedures for request and approval of extensions of time if needed.”  Policy says “All internal investigations will be concluded within 30 days. Should additional time be required, it shall be requested by the investigator and if approved by the Chief, included in the investigative file.”  Does it meet the standard?

 Example:  Standard says “The Agency has a written directive requiring employee’s to obey lawful orders from a higher-ranking member and explaining how to respond to conflicting or unlawful orders.”  Policy says “All members of the department will obey the direct order of any higher –ranking member of the department.”  Does it meet the standard?

 Purpose: To evaluate an agencies physical facility for physical issues which might prevent attaining recognition.  Conducted as soon as possible after application and acceptance.  Provides agencies with time to correct deficiencies prior to Final Review.

 Program Director contacts local Assessor  Assessor agrees to conduct Initial Visit  Provided agency contact information and Checklist and Report Form  Assessor schedules and makes Initial Visit  Short report sent to Program Director  Report should be descriptive of what was observed.

(Also known as the Pre-On-site)  Purpose: To ensure candidate agency is prepared for Final Compliance Review  Conducted as soon as possible agency completes electronic submissions (not needed if all standards were submitted.  Provides agencies with time to correct deficiencies prior to Final Review.

 Program Director contacts local Assessor  Assessor agrees to conduct Initial Compliance Review  Provided agency contact information and Checklist  Assessor schedules and makes visit as soon as possible

 Assessor ensures all On-site Files are properly prepared and ready for Final Review.  Review any facility issues identified in Initial Visit  Does not “evaluate” on-site files – just ensures they are prepared with written directives and proofs of compliance.  May provide review of specific files if Program manager asks.

 Report Form provided.  Contact Program Director and inform of agency preparation and readiness for Final Review

 Purpose: To determine if the Agency meets or exceeds all applicable Best Practices  Scheduled by Program Director after all electronic submissions complete and Assessor assigned to conduct Initial Compliance Review indicates agency readiness.  Scheduled with a Team Leader and one or two Assessors

 Scheduling:  Program Director contacts Field Compliance Manager  Team Leader selected, contacts agency, determines review dates  Assessors contacted, second (and third) assessors selected.  Team Provides Checklist and materials  Team Leader responsible for logistics

 On-Site Process:  Arrival night before or morning of Final Review  Agency orientation tour and meeting with CEO  File Review  Ride Alongs, roll calls, interviews, facility inspections as determined by Team Leader  Exit Interview

 File Review:  Team leader will assign files, usually by chapter.  File construction standardized of ease of review  May be Electronic or Paper

1.01 Prior Document Submission Form (Re- Recognition only) Proof of Compliance Written Directive (if required) Document Submission Form

 File Review:  Many Standards require a Written Directive  What is a Written Directive?  Written Directive is any written document that controls the actions of an employee.  Can be Department Policy or SOP, City pr Personnel Rule, City Administrative Directive or written Instructions, a Memo from the City Manager or Chief, a State Law….any written document that controls the actions of an employee.

 File Review:  Use Document Submission Form (copy completed in Assessor manual)  Read Standard statement  Review listing of items  Read Written Directive for compliance  Review Proofs in file  Check off what was reviewed on the DSF  Add other actions such as interviews or observations  If in compliance, sign and date, move on

 File Review:  How Much Proof is Enough?  Usually 2-3 copies of a sample document  DSF will usually state how many  Use your judgment – Reasonable Assurance!  We rely on your education, experience and judgment

 File Review:  Evaluate Files based on Reasonable Assurance  the level where the reviewing officer feels confident of the agency’s compliance with a Standard. It does not require absolute proof of compliance for every officer or every program within the department.  It relies on the Reviewing Officer’s experience.

 File Review:  If Assessor believes file does not prove compliance:  Discuss with Team Leader or other Assessor first  Conduct further interviews or observations if possible and record on DSF  Team leader may return file to agency Program Manager for additional work.  Files returned are recorded for reporting purposes.  Team Leader is final authority on –site.

 File Review:  Assessors do not evaluate compliance based on comparing to their own agency, but by comparison to the standard.  Some agencies will not be “exceptional” or have the very best policies…but they may meet the standard.  While we do not want Assessors preaching how things are done in their agency, we do expect Assessors to offer constructive advice on how some agencies have done something better.

 Exit Interview:  Final Meeting between Chief and Assessors  Assessors cover areas that they reviewed.  Discuss outstanding areas or activities  Compliment any outstanding agency personnel  Discuss any returned files (significant only)  Make an Recommendations on improved operations  Discuss Recommendations with Team Leader  Avoid “In my department, we…..”

 After Final Review:  Return Home  Complete Travel Invoice  Send to TPCA in Elgin ASAP  Team leader completes Final Report within 5 days  Final Report sent to Program Coordinator  Report sent to Committee for Vote on Recognized status

 Travel:  Least Expensive means – assessors should calculate difference in mileage and flight +rental car  Lodging usually agreed on between Team Leader and Candidate Agency  Team Leader advise second (and third) Assessor of lodging reservations to be made  Any flight, hotel and local transportations costs require receipt for reimbursement (with invoice)

 Meals:  Limited to $40 per day  Not charged if agency pays for a meal  Actual amount plus tip, not automatic maximum.  Receipts not needed if meal log submitted, your option.  Copy of completed Travel Invoice in Assessor Manual

 Questions about the Final Review On-Site Process????

 Download and print a copy before each Final Review visit (Updated at least annually)  If Evaluator’s Review section on DSF not clear, check for Discussion section in Standards Manual for any clarification.  If any questions regarding meaning, discuss with Team Leader

 Some standards need some explanation or discussion  These are standards that have had questions come up more than once

Requirements Pay attention to every requirement included in a standard. If there are four requirements, proof of three is not sufficient. Requirements may be overlooked. Here there are five parts.  2.13 Appearance (V)  The Agency has a written directive that describes uniform and personal appearance standards for sworn and non-sworn employees, including when non-uniform clothing is approved for special assignments.  This would include clothing for tactical, undercover, dispatch, jail, etc.

Reports Sometimes no proofs are available for required reports or inspections when the directive has been issued but the time for the annual report or inspection has not occurred yet. Check the date of issue or latest update of the directive and make sure they have a procedure in place for the report or inspection. If it is for a quarterly report, then a report should be in the file if the directive was issued more than 3 months before. In this case you can require them to conduct the first one while you are on site. Assistance If the agency does not meet a standard, suggest ways to help them meet the standard if possible. Written Proofs One page may not be sufficient---need to identify source on document

General Info E standards—if you have an issue, if easy to change go ahead. If a significant issue call discuss with Team Leader first. Do not make the Agency meet the policies, and procedures of your Agency. Do not make it too easy by accepting anything they present (Similar to a crime) in that if all the elements required are not there, you don’t approve the standard proof. You work with them to bring it into compliance.

Use of electronic files instead of paper files during the on site is increasing. Instead of a box of folders to review, you receive a thumb drive. You will still need a paper copy of the DSF to sign off.  7.22 Security and Accountability of Traffic Citations (V)  The Agency has a written directive to document the issuance of, and accountability for, each traffic citation. If (paper) citations are stored on site, they are stored in a secured place with limited access.  Many agencies are moving to electronic citations—still need a directive on how you account for traffic citations, how to download info, etc. May be a copy of the vendor instructions and procedures. (No erasure after issue)

 DSF checkboxes are not mandatory for the Agency to meet. They are there for the assessors to use. The items listed represent a reasonable way for Agencies to meet the Best Practices. It may not be the only way.  3.09 Supervisor Training (EV) The Agency provides for training for newly promoted supervisors/commanders appropriate to their position/rank within 12 months of promotion. Checkbox: The file or DSF identifies all ranks. Can be within 12 months prior to or after promotion. Sworn or non-sworn.

Checkboxes  1.01 Organization(EV)  The Agency has a current organizational chart depicting the organizational components available to all personnel. The chart is updated as needed but should be reviewed annually. Checkbox: Was the Organizational Chart observed posted in the agency.

Checkboxes Inspection of Property/Evidence (EV) The agency has a system in place for a documented inspection of the Property/Evidence function and procedures at least every six months. An inspection should concentrate on how the policies, procedures, and practices are followed and have minimal individual inspections of items to verify procedures. Checkbox: Does the report show evidence of review by the Agency Director?

Ride A Longs Tell them you are armed/unarmed, and will stay near the car unless they ask you to do something different. Knowledge of recognition/involvement Traffic stop/arrest/patrol/etc. procedures Wearing of Safety Vest Injured prisoner procedure Firearms Qualifications Complaint procedure/investigation—have they been involved Other areas of interest—have a conversation not an inquisition Let them pick who you ride with – to show you their best

Agency Doesn’t Meet All Standards When You Leave Call and discuss with Program Manager as soon as you think it may be an issue. If they just need a little time, work out a schedule with the Agency to send proofs to you to approve. Make sure everything is documented in the report.

1.04 Written System of Agency Directives  The agency has a written directive system in place that includes all agency policies, procedures, and practices. The written directive system must:  Be numbered and organized in a manner that allows numerical reference.  Require a periodic review and updating of directives to include that all directives are in accordance with applicable Texas Law.  Require directives and updates be made available to, and reviewed by, all affected agency personnel in a manner designated by the Agency Director.  Require maintenance of documentation proving receipt of directives by agency personnel in a manner designated by the Agency Director.

3.01 Annual Firearms Qualifications The Agency has a written directive requiring all personnel who carry firearms to qualify at least annually with any firearm they are authorized to carry, according to TCOLE standards and specifies provisions for remedial training for those who fail to qualify. Standard requires “any” firearm the agency authorizes officer to carry. (on duty/off duty, handgun, shotgun, rifles, etc.).

3.06 In-Service Sworn Officer Training The Agency ensures appropriate in-service training or refresher training for all sworn personnel employed by the agency, at least every two years, in accordance with training mandated by Texas Law or TCOLE standards, and any other training designated by the Agency. In each two year period the training must include: classes requited by TCOLE for each officer’s proficiency level; some physical arrest and/or self defense tactics; basic or refresher training in Self-Aid/Buddy Aid (SABA). This training is required of all officers, whether or not they are issued SABA equipment.

3.07 In Service Reserve Police Officer Training If the Agency has a Reserve Police Officer program, a written directive requires that Reserve Officers receive the same training as regular sworn full time personnel in the functions that the Reserve Officers are designated by the Agency to perform. Standard requires the same training for functions the Reserve performs on their own. Could include in policy those things a Reserve officer will not do unless accompanied by a regular officer.

4.10 Employee Accident and Safety Prevention  The agency has a written directive regarding employee safety to include both accident and injury investigation and prevention. The directive includes:  A requirement for the reporting, investigation, and review of all employee involved vehicle and non-vehicle accidents and personal injuries occurring on-duty or in city vehicles,  An annual review of all accidents and injuries by cause with recommendations for reduction, and  A departmental safety training program for all employees. (not annual) Includes all personnel—vehicle and non vehicle events (slips, trips, & falls) basically anything that HR/Risk Management is notified of

5.01 Privacy and Security of Records The Agency has a written directive complying with applicable law for the privacy and security of records and provides appropriate training for the Agency designee responsible for records management. Records must be kept in a secure manner. Standard requires privacy, security (room vs. file cabinet), training. Who is designated as the Agency “Keeper of the Record”?

6.06 Documenting Discharge of a Firearm The Agency has a written directive for documentation and supervisory review of the discharge of a firearm by an employee except in training or recreational situation. If none, Chief’s memo to the file.

6.08 Removal from Line Duty after Using Deadly Force The Agency has a written directive for relieving any employee from line duty who has used deadly force, or been involved in a traffic accident, that has intentionally or accidentally resulted in the serious injury or death of a person, until a preliminary review can be conducted. Standard requires both accidentally or intentionally. It would include automobile crashes. What about the mental well being of the officer? Accident review could take one day for a preliminary review.

6.10 Annual Use of Force Report The Agency prepares an annual report on the use of force incidents that is sent to the Agency Director. The contents of the report will be designated by the Agency and the report should include any trends on the use of force by agency personnel, training needs, equipment needs, or policy revisions. Standard requires an analysis to identify trends, training needs, equipment needs, or policy revisions, not just a report on the number of events and types of force used.

Pursuit Documentation  The Agency has a written directive that requires a pursuit report form to be completed after each pursuit. The report is forwarded through the chain of command to the Agency Director or designee. The Pursuit report will document at a minimum:  The reasons for the pursuit.  The personnel involved.  The result of the pursuit, to include any injury, damage or significant events. An annual report of agency pursuits is prepared for the Agency Director or designee. It is more than just a count of pursuits. What if none or one? Memo no analysis possible or compare to previous 2 or 3 years. What is a significant event? ( Car ends up in Mayor’s front yard.) Some say significant events are captured in the arrest report. The point is to have all information in same place each time.

7.25 Special Use Equipment The Agency requires that any equipment, including vehicles used for special assignments, or for other than routine use, have a documented readiness inspection on a periodic basis, but at least quarterly. Standard requires “periodic” inspections of any equipment, including vehicles, used in non routine situations—(riot gear, radar trailers, command vehicles, special accident equipment)

8.07 After Action Report The Agency has a written Emergency Operations Plan, or is included in a city/county Emergency Operations Plan. The plan is accessible to at least all command level and communications personnel. The department trains appropriate personnel in the plan. The plan or other departmental written directive includes provisions for: Civil Disturbances, Mass Arrests, Responses to natural and man made disasters. Many use the state plan and annexes which usually covers disasters but not civil disturbances or mass arrests. May need additional directive. Training = does the street commander know what to do when it happens/do senior commanders know how to use the plan

8.10 Homeland Security The Agency designates at least one person in the Agency to be familiar with and review homeland security information that is pertinent to the Agency and the jurisdiction. “in the agency” can mean an agency employee or in the police facility with a city/county employee housed inside the agency. The point here is to provide timely information directly to the agency. Copy of or bulletin sent to department personnel.

9.03 Playback System The Agency has a playback system for telephones and radios to allow for information to be retrieved when necessary. Standard requires a system for telephones and radio but does not require immediate playback.

9.04 Back Up Power Source The Agency has access to a back up power source, or other alternate means of communications, in order to maintain operations of radios and telephones during a power failure. The back up power source or alternative means of communication has security measures to prevent unauthorized access or tampering. At least quarterly documented testing of the back-up system is required. What constitutes security of a generator? What if two generators?

10.12 Medical Assistance for Prisoners The Agency has a written directive instructing personnel how to obtain medical assistance for ill or injured prisoners. Required even if no jail.

10.19 Minimum Standards for Jail Cell Area The Agency Jail cells are equipped with water and toilet facilities except for special purpose cells. Access to food will be provided to prisoners who are detained through normal meal times. Standard requires prisoners to be fed at “normal” meal times. Normal meal times means breakfast, lunch, and dinner.

10.20 Visual Observation of Prisoners The Agency requires that agency personnel should visually observe prisoners every 30 minutes as workloads allow but not to exceed one hour. The observations must be documented and can be in person or by a monitored camera system. Documented observations of prisoners who may be considered security risk, suicidal, experiencing unusual behavior, or other causes for concern by agency staff will occur every 30 minutes. Standard requires every 30 min or max time of one hour. Agencies must find a way to accomplish this no matter what the size of the agency. Does not require a police officer. If you don’t document it, it did not occur. Having a video feed which may or may not be looked at is not sufficient.

11.01 Courthouse/Courtroom Security If the Agency provides security for a Courthouse/courtroom, the Agency trains appropriate personnel on security measures, including the carrying of weapons in the courthouse/courtroom, and the use of restraints. Need to show appropriate training and must include specifics for court security such as carrying weapons in the courthouse/ courtroom and use of restraints within the courtroom. Could include a memo from the judge on what he/she allows in the courtroom.

12.06 Field Release of Property The Agency has a written directive for the release of property or evidence in the field. The policy should detail when and how the items may be released to the complainant or owner when practical without compromising a case. All releases will be documented and signed for on a property /evidence release form. Paperless Agency---have to have a way for the person to actually “sign” for the property. Could also use the in car camera and video to document the release. How long would the video be kept?

12.07 Inspection of Property/Evidence The Agency has a system in place for a documented inspection of the Property /Evidence function and procedures at least every six months. An inspection should concentrate on how the policies, procedures, and practices are followed and have minimal individual inspection of items. Inspection should concentrate on how all policies, procedures, and practices pertaining to Property/Evidence are followed. Not just procedures on storing and maintaining of property but all procedures such as the sign in sheet, etc. A few individual inspection of items should also be conducted.

12.08 Inventory of Property/Evidence The Agency has a written directive requiring a sampling of individual items stored in the property and evidence area at least annually, and when a new person is assigned who is in direct control of the property/evidence function. The sample must meet the requirements for sampling in Appendix A. An Inventory will concentrate on the items stored in Property/ Evidence and will require a more extensive check of items than an Inspection. The proofs are not the same for an inventory and an inspection.

 Representative of the Texas Police Chiefs Association  Behavior must be above reproach.  Code of Ethics for Assessors and other Program Staff. (Attachment)  Ensure your behavior; language, actions and attitude reflect the very best of the law enforcement tradition.

 Confidentiality  Keep confidential any and all information gained or learned from an on-site evaluation.  Refrain from making statements about how various actions are performed in your own agency.  Seek permission from a candidate agency to copy or use and idea, policy, form, or other operation, for use in their own agency.

 Exceptional Programs  Assessors who observe an exceptional program in operation should seek the department’s permission to describe the program in their final report for distribution to other agencies.

 Attire  Assessors conducting Initial Visits and Initial Compliance Reviews may wear business casual clothing or their own department uniform when visiting other agencies.

Thank you for your Service!!! The Recognition Program would not be successful without your active Participation!!