New York State Law Enforcement Accreditation Program Understanding Standard Compliance and File Documentation Updated :

1. New York State Law Enforcement Accreditation Program Understanding Standard Compliance and File Documentation Updated : 11/1/2011

2. Developed by • Chief Douglas Robertson – East Syracuse PD (Retired) • Assessor & Assessment Team Leader • Program Manager 1990-1997 North Syracuse PD • Program Manager 1997-1999 Dryden PD • Chief Margaret Ryan • Program Manager 1999-Present Dryden PD • Sergeant Michael Crowell – Town of Manlius PD • Assessor & Assessment Team Leader • Program Manager 1996-2000 Manlius PD

3. Directive v. Documentation • Written Directive • Policy Statement, general order, memorandum etc • Documentation • Reports, printed documents supporting an agency’s compliance

4. Written Directives • 77 of the 133 program standards require a written directive. • If you see “The agency has a written directive”then you MUST have a written directive, general order, written policy & procedure. • 55 standards require records or other forms of written documentation. • 130 standards require written documented proof of compliance in some form.

5. Observation & Interviews • There are only 2 standards that can be verified through observation ONLY! • Interviews & observations CAN and should be used ONLY to support other compliance methods.

6. Remember • Anything you place in a, Accreditation Standard Compliance folder is now a public record and is NOT exempt from FOIL requests

7. ADMINISTRATION - STANDARD 1.1The agency has a written mission statement that defines its role. • Copy of mission statement in file • Post copies of mission statement in offices • Observable by team • Included in web pages • Provide printed copies or internet access • Printed in various publications • Media releases • Handbooks • Include these in standards folder • Interview department personnel • To insure understanding by staff

8. STANDARD 1.2 - The agency develops goals and objectives that are reviewed, updated at least annually and are available to all personnel. A written evaluation of the degree to which the agency has attained its goals and objectives must be prepared annually and made available for review by all personnel. • Actual copies for each period of the assessment period • Post goals in and around the headquarters building • Observable by team • Included in web sites • Include printed copies or provide internet access • Copies of annual evaluation reports, memo’s etc • Post evaluation reports • Disseminate to staff and require signature sheets

9. STANDARD 2.1 The agency has an organizational chart that is updated and available to all members. The chart reflects the chain of command and lines of communications within the agency and is organized in a hierarchy. • Copy of org chart in file folder • Post org chart around station • Observable by team • Included in web sites • Include printed copies or provide internet access

10. STANDARD 2.2 The agency has a statement of the duties and responsibilities prepared for each sworn and non-sworn job classification or assignment within the agency. • Copy of departmental directives outlining duties and responsibilities • Copy of civil service job functions for civil service titles • Includes non-civil service positions • Investigator, Evidence Tech, K-9 etc • You must provide one for EACH position and/or title within the agency

11. STANDARD 2.3 The agency adheres to an established system for the development and promulgation of agency policies, procedures, rules and regulations which: • A. Provides procedures describing how written directives are: • 1. formatted; • 2. indexed; • 3. purged; • 4. updated; and • 5. disseminated. • B. Vests in the Chief Executive Officer or designees) the authority to issue, modify or approve written directives; • C. Provides a procedure for staff review of proposed written directives prior to their implementation; and • D. Requires a procedure to assure the receipt of the directives by all affected components and personnel.

12. STANDARD 2.3 Written Directives • Although the standard does not specifically state “written”, the easiest way to comply is to have a written policy for issuing direction, procedures and policy to staff • Must include methods for: • format; • General, Special, Personnel Orders • Indexing • Alpha numeric system, Program Standards format • purging • Updating; and • disseminating.

13. STANDARD 2.3 Written Directive • Vests in the Chief Executive Officer or designees) the authority to issue, modify or approve written directives • “Only the Chief of Police shall have the authority to issue, modify, approve or cancel a written directive of this agency.” • This simple statement somewhere in the body of your written directive will satisfy the intent of Bullet B

14. STANDARD 2.3 Written Directives • Provides a procedure for staff review of proposed written directives prior to their implementation; • Staff notated draft copies of proposed directives • Staff meeting minutes • Discussion memorandum • Directive needs to include a policy statement to for staff review

15. STANDARD 2.3 Written Directives • Requires a procedure to assure the receipt of the directives by all affected components and personnel • Actual copies of distribution receipt/logs • Random inspection of members manuals

16. STANDARD 2.4 The agency has a staffing table that provides the following information:A. Total personnel strength as authorized by the agency's government; andB. Number of personnel, by rank or job title, within each organizational component, including non sworn personnel. • Copy of department budget • Agency Rosters • Organizational Chart with members names, rank & titles • Written Staffing Guide Directive • Collective Bargaining Agreement if applicable

17. STANDARD 2.5 The agency, for purposes of appropriate distribution of patrol personnel, periodically reviews staffing needs and maintains a map of its service area organized into identified patrol area (s) which suit community needs. • Copy of town/village/city map in file • Showing patrol posts, zones, beats etc • Map in dispatch or roll-call room • Observable by team • Provide outdated copies if patrol zones have changed

18. STANDARD 2.7 The agency has a written directive requiring responsibility be accompanied by commensurate authority and each employee is accountable for the use of delegated authority. • A written directive containing this simple statement: “Each member is accountable to his/her immediate supervisor for the use or failure to use delegated authority.” • Copies of counseling memos showing member’s disciplined or counseled for failing to use delegated authority

19. STANDARD 2.9 The agency has a written directive establishing that supervisory personnel are accountable for the performance of employees under their immediate control. • Interviews with supervisors • Copies of counseling memo’s discipline etc. • Policy statement for supervisory positions such as: “Conducts and/or initiates informal disciplinary action aimed at correcting violations of Department policy;”

20. STANDARD 2.10 The agency has a written directive that requires sworn personnel to obey any lawful order of a superior transmitted by any duly authorized agent of that superior, regardless of rank involved, and establishes procedures to be followed when a conflicting order or directive is received. • Requires a written directive • Must be contained in the file folder

21. STANDARD 3.1 The agency has a written directive that addresses infectious diseases to include prevention and post exposure response. The directive will address the following at a minimum: • A. The designation of a position responsible for the coordination of communicable disease exposure; • B. Precautions associated with public safety personnel in the performance of their duties; • C. Protective equipment; • D. Reporting procedures for possible exposure; • E. Provisions for disposal of contaminated materials; • F. Provisions for medical care; • G. Training; and • H. Record keeping confidentiality.

22. 3.1 Compliance Methods • Written directive covering all bullets • Observation of PPE • Copies of actual exposure reports • Training Records • OSHA requires annual training • Lesson plans • Attendance sheets • Certificates • Personnel Records

23. STANDARD 5.1 The agency has a written directive or documentation designating the position or component responsible for fiscal management. • Policy Statement • “The Chief of Police is the Chief Executive Officer of the Department of Police and therefore is entrusted with the authority and responsibility for the fiscal management.” • Copies of annual budget submissions • PO’s, vouchers etc signed by Chief • Petty cash disbursements if any

24. STANDARD 5.2 The agency has an accounting system for its budget which includes the preparation of at least quarterly status reports showing: • A. Initial appropriation for accounts or programs; • B. Balances at the commencement of each period; • C. Expenditures and encumbrances made during the period; and • D. Unencumbered balances.

25. STANDARD 5.3 The agency has a written directive that outlines procedures for collecting, safeguarding, and disbursing cash, to include at a minimum: • A. Maintenance of an allotment system or, alternatively, records of appropriations among organizational components; • B. Preparation of financial statements; • C. Internal monitoring; and • D. Identification of persons by name or position authorized to accept or disburse funds.

26. 5.3 Compliance Strategies • Identification of person(s) authorized to disburse • Ledgers spreadsheets etc of funds • Provisions of random audit • Copies of audits • Copies of receipts of expenditures • Observation of security measures

27. Standard 6.1 The agency has a written directive that governs the procurement or requisitioning of agency-owned property.A. The directive must also outline procedures for inventory control of property, equipment and other assets owned and used by the agency; andB. Designates the person (s) or position responsible for the management, accountability, distribution and issuance of agency-owned property.

28. STANDARD 6.2 The agency has a written directive that outlines the procedures used for the safe and proper storage, control, inventory and safeguarding of agency weapons and ammunition maintained in an armory or other secure setting. • Copies of weapons inventory • Weapon assignment sheets • Observation of armory or storage area • Locked • Access Controlled • Separate from non-agency weapons

29. STANDARD 7.1 The agency has a written directive that describes its property system used for the secure and proper recording, storage, classification, transfer, retrieval and disposition of all evidentiary items and items held under protective custody. A designated person (s) is accountable for control of all property placed within the protective custody of the agency. • A. This property system must incorporate additional security and control measures to safeguard all money, firearms, controlled substances and high-value items within the protective custody of the agency. THIS ONE CAN BE A REAL SHOW STOPPER

30. Property Room Pitfalls • Lack of written directive • Poor or inadequate security • Hollow core doors • Open drop ceilings • Cheap locks • Lack of access control • Open access or multiple keys

31. Property Room Pitfalls • Poor or insufficient record keeping • No transfer history • Lack of additional security • Guns • Drugs • Cash • Jewelry

32. STANDARD 7.3 The agency has a written directive that requires personnel not normally charged with the custody of property to annually perform sample inventories and record the audits of property within the protective custody of the agency. • The written directive requires that whenever a new property or evidence custodian is designated, a sample inventory of property is conducted and properly annotated. • Annual Audits MUST be documented • Include copies of annual audits in compliance files • Custodian change audits = EVERYONE with access • Not just the primary custodian! • Include copies of custodian change audits in file

33. STANDARD 8.1 The agency must maintain a record for each call for service and include at a minimum: A. The control number; B. Nature of call; C. Date and time of call; D. Names of person (s) involved; and • Action, if any, taken by the agency. • DR OR CR Punch cards • CAD printouts • Copies of blotter pages • SJS reports • Observation of dispatch functions • Interviews with dispatch personnel

34. STANDARD8.2 The agency must maintain full participation in the state fingerprint/criminal history records system and Uniform Crime Reporting System or National Incident Based Reporting System. • Copies of actual UCR or IBR reports • Copies of actual 10 print card submissions accompanied by the RAP return from print submission

35. STANDARD 8.5 The agency must maintain records in accordance with the records retention and disposition schedule issued by the Commissioner of the State Department of Education [schedule MU-1 (9 NYCRR section 185.11) for use by city, town, and village agencies OR schedule CO-2 (9 NYCRR section 185.13) for use by county agencies], including, but not be limited to: A. Incident and/or crime reports;B. Arrest reports; andC. Traffic accident reports.

36. 8.5 Compliance Techniques • Copy of the MU – 1 in the file folder • Written policy statement • Observation of Records systems & archives. • Spot Check for compliance • Interviews with records clerks

37. STANDARD8.6 The agency has an administrative reporting program which preserves the daily records of agency activities. Statistical and data summaries based upon such records shall be periodically prepared. The activities recorded should include but not limited to: the number of complaints; crimes and arrests; traffic accidents; summonses; and unusual occurrences. The intent of the standard is to keep personnel informed of activities during previous shifts. • Copies of monthly or annual reports • Daily Bulletins • Briefing or Roll-Call reports

38. STANDARD 8.7 The agency has a records management system which ensures that incident reports are maintained and filed in an efficient and functional manner. The records management system shall include provisions for: • A. The filing of reports; • B. The retrieval of reports; • C. The security of reports; • D. Supervisory review of incident reports for completeness and accuracy; and • E. The response to Freedom of Information requests.

39. 8.7 Compliance Strategies • Copies of actual reports with supervisor signature • Incident, Accident & Arrest etc • Actual FOILS and the agency response • A complete walk-through of the RMS process • Observation of record security • Interviews with Records personnel

40. STANDARD 8.8 The agency must maintain an arrest history record on each person arrested by the agency. • Add copies of actual arrests to file folders • Include arrest report, print card & mug shot • Written directive on completing arrest reports • Computer print-outs from RMS • Arrest cards • Arrest Blotters

41. STANDARD 8.9 The agency must maintain records on juveniles separate from records on adults as required by applicable law.A. Identify by position who is responsible for the collection, dissemination and retention of juvenile records. • Written directive identifying juvenile officer (s) • Observation of area where juvenile records are secured • Include copies of actual juvenile records marked juvenile • Redact names • Interview with Juvenile Officer (s)

42. STANDARD8.11 The agency complies with all court mandated sealing orders. • Interview records personnel • Observation of actual sealed records • Kept Separate from other • Locked, sealed envelope or otherwise no readily visible • Copies of arrest blotters with names redacted • Spot Check of computerized RMS NEVER PUT ACTAUL SEALED CASES IN COMPLIANCE FOLDERS

43. STANDARD 8.12 The agency has a record system for warrants which permits 24 hour access. • Observation of location of warrant files • Accessible to all 24/7?

44. STANDARD 8.13 The agency requires that information regarding each item of legal process, including warrants, civil and/or criminal, is recorded. A record of attempts to serve each legal process document is maintained. • This standard also include subpoenas for officers • Copies of blotter records • Copies of log books for legal process • Incident Reports • CAD printouts • Affidavits of Service • Warrant Control Sheets (WHAMS)

45. STANDARD 11.1 A job announcement for every entry level law enforcement officer position is advertised and must include the following: • A. A description of the duties associated with the position to be filled; • B. Requirements that must be met in order to qualify for the position; • C. Information that prospective candidates need to know about the application process; and • D. Notice that the agency is a Equal Opportunity Employer.

46. STANDARD 11.1 Compliance is Easy • Most agencies utilize a county-wide or city wide personnel department. • Copy of recent job announcements • Entry level ONLY!

47. STANDARD 11.2 The agency has a written directive that designates a person (s) or position (s) or agency responsible for administering selection activities. The agency must maintain written documentation that describes all components of the selection process. Agency records must denote the title of the person or group having the authority to appoint new officers. • Written directive need only have two simple policy statements within • “It is the policy of the XYZ Police Department to recruit and select candidates for the position for Police Officers in accordance with the New York State Civil Service Law, as administered by the County Department of Personnel.” • “The Town Board shall be the appointing authority for all police officers”

48. STANDARD 11.3 The agency requires that candidates accepted for full-time entry level law enforcement officer positions are required to pass a written test as part of the selection process. All verbal and written tests used in the selection process are administered, scored, evaluated and interpreted in a uniform nondiscriminatory manner. • Written directive must contain language to the effect of : • “The preliminary method of recruitment for the position of full time Police Officer within the XYZ Police Department is through the Department of Personnel’s continuous recruitment testing program.” • Include a copy of recent test announcements and eligibility lists.

49. STANDARD 12.1 The agency requires that candidates accepted for entry level law enforcement officer positions meet or exceed the "Medical and Physical Fitness Standards and Procedures for Police Officer Candidates" established by the Municipal Police Training Council and/or current applicable law. • Directive needs to include: “Candidates considered for appointment must be of good moral character and must satisfy the height, weight, and physical fitness requirements prescribed by the New York State Bureau for Municipal Police (BMP) pursuant to S840 of the New York State Executive Law.” • Include copies of quoted statutes • Testing announcements from Civil Service • Letter from Civil Service • Copy of BMP Standards

50. STANDARD 12.2 The agency requires that the age span for candidates accepted for entry level law enforcement officer positions conforms with Civil Service Law, Section 58, and/or current applicable law. • Copy of Section 58 NYSCSL • Job/Exam Postings • Statement/Letter from Civil Service • Eligibility Lists • Roster Cards