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03.27.2013 Town Council Special Meeting PacketPage 1 of 2 ] Prosper is a place where everyone matters. 1. Call to Order/Roll Call. 2. The Town Council will hold a strategic planning workshop to discuss successes and accomplishments since the last planning workshop and to prioritize future strategic goals. 3. EXECUTIVE SESSION: Recess into Closed Session in compliance with Section 551.001 et. seq. Tex as Government Code, as authorized by the Texas Open Meetings Act deliberate regarding; 3a. Section 551.072. To deliberate the purchase, exchange, lease, or value of real property generally located on W. Broadway Street west of Coleman. 4. To reconvene in Regular Session and take any action necessary as a result of the Closed Session. 5. Adjourn. CERTIFICATION I, the undersigned authority, do hereby certify that this Notice of Meeting was posted on the inside window at the Town Hall of the Town of Prosper, Texas, a place convenient and readily accessible to the general public at all times, and said Notice was posted on the following date and time: By __________________________ at 4:00 p.m. and remained so posted at least 72 hours before said meeting was convened. ________________________________ Harlan Jefferson Interim Town Secretary If during the course of the meeting covered by this Notice, the Town Council should determine that a closed or executive meeting or session of the Town Council or a consultation with the attorney/special counsel for the Town should be held or is required, then such closed or executive meeting or session or consultation with the attorney/special counsel as authorized by the Texas Open Meetings Act, Texas Government Code, §551.001, et seq., will be held by the Town Council at the date, hour and place given in this N otice or as soon after the commencement of the meeting covered by this Notice as the Town Council may conveniently meet in such closed or executive meeting or session or consult with the attorney/special counsel for the Town concerning any and all subjects and for any and all purposes permitted by the Act, including, but not limited to, the following sections and purposes: Texas Government Code: §551.071 - Consultation with the attorney/special counsel for the Town. §551.072 - Discussion regarding the purchase, exchange, lease or value of real property. §551.074 - Discussion regarding personnel matters. AGENDA Special Meeting of the Prosper Town Council Prosper Municipal Chambers 108 W. Broadway, Prosper, Texas Wednesday, March 27, 2013 Meeting begins at 8:30 a.m. Page 2 of 2 NOTICE Pursuant to Town of Prosper Ordinance Number 07 -04, all speakers other than Town of Prosper Staff are limited to three (3) minutes per person, per item, which may be extended for an additional two (2) minutes with approval of a majority vote of the Town Council. NOTICE OF ASSISTANCE AT PUBLIC MEETINGS: The Prosper Town Council Meetings are wheelchair accessible. Persons with disabilities who plan to attend this meeting and who may need auxiliary aids or services such as Interpreters for persons who are deaf or hearing impaired, readers, or large print, are requested to contact the Town Secretary’s Office at (972) 569-1011. BRAILLE IS NOT AVAILABLE. Town of Prosper, Texas Council - Staff Planning Session March 27, 2013 Working Agenda PURPOSE: At the end of this retreat we will have accomplished the following:  Confirmed vision and values statements  Secured Council direction on long-term strategic goals and objectives  Discussed Council priorities for the coming year and direction to staff on discussion issues  Determined next steps for Council and staff AGENDA: Targeted Time 8:30 – 8:40 a.m.  Introduction o Opening comments o Review agenda, deliverables, and logistics 8:40 – 8:50 a.m.  Review of the planning process and purpose 8:50 – 9:10 a.m.  Review of Town’s vision and values 9:10 – 9:25 a.m.  Discussion: What does the vision mean for future services, programs, and places 9:25 – 10:05 a.m.  Review staff’s ideas on strategic goals, objectives, and action plans 10:05 – 10:45 a.m.  Discuss Council’s direction on goals, objectives, and action plans o Direction to add or delete items o Direction to change staff priorities 10:45 – 11:40 a.m.  Discussion items: o Does Council wish to develop a Code of Conduct/House Rules of Conduct? o Does Town mission and purpose statement need revision? o Does Council want to conduct a Citizen Survey? o Should we authorize 4B money? o What is Council direction on short-term and long-term Town Hall options? o How do we become financially competitive with other communities on Economic Development? o How do we maintain the Prosper Feel at 50-70K population? o How do we continue to reinforce our values of excellence and continuous improvement within the organization? 11:40 – 11:50 a.m.  Determine any follow-up plans and next steps 11:50 a.m. – 12:00 p.m.  Summary, wrap up, and next steps LENGTH: 8:30 a.m. – 12:00 p.m. Town of Prosper Council Planning Session March 27, 2013 Town Strategic Goals Staff Recommendations Town of Prosper 2013 Strategic Plan 1 Table of Contents Town of Prosper Vision Page 2 Town of Prosper SWOT Analysis Page 3 Town of Prosper Strategic Goals Page 4 Town of Prosper Pages 5 – 11 Long-Term Objectives and Action Items Town of Prosper Page 12 2012 Accomplishments and Progress Report Town of Prosper 2013 Strategic Plan 2 TOWN OF PROSPER 2020 VISION Prosper is a community committed to excellence. It is a high quality, family-oriented community maintaining a visually aesthetic open feel with quality commercial development directed to the Town’s major transportation corridors all while maintaining strong fiscal responsibility. PROSPER IS A PLACE WHERE EVERYONE MATTERS. WE BELIEVE IN:  EXCELLENCE Excellence is when we are a caring community, when we demonstrate leadership that adds value for our citizens and community, when we benefit from continuous creativity and civic engagement, when we provide sustained Security, when we are Helping Others, when we adhere to ethical principles and we are transparent in our actions.  BEST IN THE WORLD Prosper will be the best in the world at being an organization that inspires our citizens to take ownership and make a difference in our Town.  HIGH PERFORMANCE A team of highly motivated professionals committed to providing the highest quality customer care, with a clear and compelling vision through innovative and knowledgeable solutions. OUR VALUES  Integrity – The Town of Prosper will adhere to moral and ethical principles  Engagement – Prosper will be a place allowing all individuals to contribute and participate to make an impact, to make Prosper a community of excellence  Accountability – The Town of Prosper will be a community that reports on its activities, accepts responsibility for them, and discloses the results in a transparent manner Town of Prosper 2013 Strategic Plan 3 SWOT ANALYSIS Strengths  Citizens, council, and Town management are aligned in their desire to provide high quality development services at competitive cost.  Efficient procedures, systems, and well developed customer service.  Key staff has prior municipal experience.  Location – Tollway, US 380, and Preston Rd. access.  Access to regional transportation and amenities.  Ample space for growth and development of both residential areas and commercial corridors.  Attention has been given to planning for growth.  Friendly, cooperative, and supportive staff.  Good working relationships within Town departments, other municipalities, and the development community.  Staffed to operate at very lean levels. Opportunities • Location of Prosper ripe for development. • The ability to use new and available technology to streamline service delivery. • Undeveloped property provides “blank slate” for new development and recreational opportunities. • Opportunity to establish high- performance culture before the Town becomes too large. • Attract highly qualified staff who value the opportunity to be involved with a quality, high-growth community. • To become the best at what we do with everyone mattering. • Enhance community involvement as the Town grows – create traditions that promote our image and feel. • Build on positive relationships in the region to take advantage of the lessons we can learn from others. • Improve planning process and alignment between Council goals and staff priorities. Weaknesses • Revenue is not available to develop as fast as we want. • Lack of space for Town facilities • Codes and standards are not completely up to date. • Aging fleet vehicles. • Lack of staff awareness of mission, objectives, and policies. • Staffed to operate at very lean levels. • Outdated technology in some areas of the organization. Threats • Growth of community and demand for services exceeding staffs capacity. • Ability to be financially competitive for highest quality staff. • Town of Prosper is being supplied predominantly by one 30” water line coming from Custer Road Pump Station. Any disruption of this water line until additional routes are installed are a possible threat. • Uncertain economic environment prevents development and that has an impact on Town’s ability to fund desired services. • Lean staffing levels contributing to mistakes and lower morale. Town of Prosper 2013 Strategic Plan 4 TOWN OF PROSPER STRATEGIC GOALS  Targeted and Maintainable Economic Development: Promote diversity in economic growth and community development for Prosper’s current and future residents.  Residential Development: Ensure quality residential development that supports the Town’s vision and enhances the quality of life of Prosper’s current and future residents.  Safety and Security: Ensure the safety and security of individuals and property for those who live, work, and play in Prosper.  First Rate Utilities: Provide high quality water and sewer services to meet the Town’s current and future needs.  Efficient and Effective Transportation: Provide high transportation corridors that promote mobility to meet the Town’s current and future needs.  Maximize Recreation and Leisure Opportunities: Provide citizens and visitors with opportunities to participate in experiences that meet their recreation and leisure needs. Promote diversity in leisure services, and experiences for Prosper’s current and future residents.  Community Character: Maintain Prosper’s unique feel and distinctive look through extensive use of trees and open space as well as high development standards that provide vibrant, neighborhoods and development.  Fiscal Stewardship: Ensure Propser’s long-term financial viability and integrity of the Town’s financial controls and processes.  A Quality Workforce: Ensure Prosper’s long-term success by attracting, retaining, equipping, and empowering a workforce that delivers excellent service for an excellent value.  Town Facilities: Maintain quality public facilities that represent the brand image of Prosper; meet the needs of the citizens and staff; and promote effective and efficient Town services. Town of Prosper 2013 Strategic Plan 5 TOWN OF PROSPER 2013 STRATEGIC GOALS, OBJECTIVES, AND ACTION ITEMS GOAL – TARGETED AND MAINTAINABLE ECONOMIC DEVELOPMENT Long-Term Objectives: • Retain and expand existing business and bring new business to support development and growth of existing projects • Ensure upgraded quality standards along Preston Road / Tollway / 380 Development • Develop a comprehensive Downtown Strategy and complete 25% of it* • Provide entertainment venues for families– restaurants, farmers market* • 1 million square feet of retail with a target of 2 – 3 grocers* • 1 million square feet of office/flex space completed* • Bring 4,000 new jobs to employment centers including several large commercial clients utilizing the rail system through Town* • Create high quality mixed-use centers where residents may shop, dine, socialize, and live • Continually improve efficiency of the PEDC *Subject to discussion with PEDC Board on target dates Action Items – Urgent and Important  Create a new business park with flex/office space  Develop new office buildings that can attract primary jobs on the Matthews Southwest land on the corner of US 380 and the Dallas North Tollway  Attract new retail development on the Blue Star land on the corner of Preston Road and US 380  Recruit a new grocery store to Prosper  Improve the Prosper EDC organization to meet the growing day-to-day demand of development Action Items – Important to Begin or Continue  Recruit new retail development to Prosper  Create a career-technical curriculum to be used by Prosper High School students  Recruit corporate headquarters and offices  Organize the Prosper EDC financial statements and forecasting capabilities  Create and maintain databases and photo libraries of contacts and land in Prsoper Town of Prosper 2013 Strategic Plan 6 GOAL – RESIDENTIAL DEVELOPMENT Long-Term Objectives: • Maintain and enhance the high quality of life and small-town feel currently available and expected by Prosper residents • Protect the quality and integrity of Prosper’s neighborhoods • Require high-quality and visually attractive architectural characteristics in residential developments • Ensure that housing density and development strategy are consistent with the comprehensive plan and support the economic base of the community • Provide a range of housing in Prosper, taking into consideration, among other things, data relating to income, education levels, and ethnicities Action Items – Urgent and Important • Maintain our current development schedule to effectively respond to increased demands for new development • Develop a list of priorities for implementing the Comprehensive Plan • Amend Zoning Ordinances to match Comprehensive Plan once priorities are established Action Items – Important to Begin or Continue • Work with developers to ensure that new development is consistent with the Comprehensive Plan Town of Prosper 2013 Strategic Plan 7 GOAL – SAFETY & SECURITY Long-Term Objectives: • Lower ISO Rating • Maintain staffing ratios that meet safety and security needs • Maintain technology to operate safety and security communication systems • Work with ISD’s to ensure school safety • Maintain building, property, and health codes that ensure safety and security • Work with all county, state, and federal agencies to comply with security and reporting requirements Action Items – Urgent and Important • Review ISO report and a response plan with Council to understand long-term requirements for Fire Department • Develop plan for radio system end of life with Frisco • Update the Building Codes • Update the Animal Control ordinance • Update the Subdivision ordinance • Provide safeguards at all water facilities • Create school zone flasher policy Action Items – Important to Begin or Continue • Maintain required training of staff to ensure professional response • Maintain response time rates • Enter the Texas Police Chief’s Assn. recognition program • Achieve 40 minutes proactive time and 20 minutes reactive time in any given hour for police officers • Present drainage standards for adoption • Implement a backflow prevention program • Training with ISD police on active shooter situations • Conduct threat assessment on all school campuses Action Items – As Time/Resources Allow • Grow the rank structure in Police Department to achieve NIMS recommendation • Implement a multi-family inspections program Town of Prosper 2013 Strategic Plan 8 GOAL – FIRST RATE UTILITIES Long-Term Objectives: • Ensure that water, wastewater, and stormwater infrastructure systems are able to meet future growth demands • Partner with developers to ensure adequate water, wastewater, and stormwater systems • Additional water towers constructed per demand • Ensure potable water resources are secured • Utility funds self-supported at reasonable cost to citizens • Maintain policies that encourage water conservation Action Items – Urgent and Important • Complete construction of Custer Road pump station expansion • Begin construction on second water line feed from Custer Rd. Pump Station • Acquire Prosper Trail elevated storage tank property • Cap and plug existing wells • Confirm time frame and cost of participation of Doe Branch wastewater treatment plant • Complete new water and wastewater lines on west side of Town Action Items – Important to Begin or Continue • Evaluate Upper Trinity Regional Water District contract • Finalize agreement with City of Frisco on wastewater connection to La Cima lift station GOAL – EFFICIENT, EFFECTIVE TRANSPORTATION Long-Term Objectives: • Partner with developers to ensure adequate roads • Prioritize Town’s CIP needs on major thoroughfares for completion based on CIP projects and growth opportunities • Partner with other government entities to ensure transportation needs are met • Develop quality, open roadways that enhance the Town’s rural image, are compatible with adjacent development, and provide safe and convenient traffic movement Action Items – Urgent and Important • Prioritize CIP transportation projects for the future • Reconstruct Hays Rd. from Ridgewood to Chandler Circle • Overlay Coit Rd. from First to Frontier • Overlay Coleman Rd. from Broadway to Prosper Trail • Reconstruct Fish Trap Rd. from F.M. 1385 to the Dallas North Tollway Action Items – As Time/Resources Allow • Reconstruct Main St. from First to Broadway Town of Prosper 2013 Strategic Plan 9 GOAL – MAXIMIZE RECREATION AND LEISURE OPPORTUNITIES Long-Term Objectives: • Build a system of connected parks and trails for outdoor recreation • Update and implement the Parks Master Plan • Provide senior services at their current, or hopefully enhanced level • Provide library services to meet enhanced state library services standards • Create a recreation leisure destination that will enhance quality of life and spur economic development • Establish and conduct four seasonal community event traditions in Prosper • Maybe in coordination with other bodies – Chamber; School District • Community centered that may turn into regional events Action Items – Urgent and Important • Prioritize CIP plans for parks and recreation projects • Initiate update of Parks Master Plan • Develop a plan to accommodate growth in the Youth Sports and Town recreation programs Action Items – Important to Begin or Continue • Conduct Town-wide community events • Trout Derby • Council Citizen Picnic • Christmas Festival • Implement summer programs (Kite Day, Movies in the Pavilion, etc.) • Maintain senior involvement and recreation programs GOAL – COMMUNITY CHARACTER Long-Term Objectives: • Improve the image of the Town in line with the Town’s commitment to excellence • Clearly brand and identify Prosper through gateways and other identifying features • Maintain median landscaping and fencing standards • Establish a consistent brand image for Prosper • Maintain open spaces that create a quiet, open feel Action Items – Urgent and Important • Complete Coit and First St. median landscaping • Apply for Green Ribbon funding to provide landscaping for SH289 (Preston Rd.) Action Items – Important to Begin or Continue • Award design contract for Richland Blvd. median landscaping • Begin downtown streetscape enhancements (lighting, planter beds, etc.) Action Items – As Time/Resources Allow • Apply for Tree City USA and Scenic City designations Town of Prosper 2013 Strategic Plan 10 GOAL – FISCAL STEWARDSHIP Long-Term Objectives: • Improve bond rating by one level • Maintain a healthy fund balance/implement fund balance policy • Improve procurement efficiency • Town Staff/ Town Processes – Have in place “CPI”-continuous process improvement for our town processes and utilize more or better metrics for measuring improvements promoting a culture of continuous improvement • Take advantage of surrounding communities growth to create and implement strategic partnerships for shared facilities, services, and manpower • “One stop” approach to services offered that drive all of our processes • Utilize technology to eliminate traditional manpower and “bricks and mortar” solutions Action Items – Urgent and Important • Issue refunding and GO debt • Issue CO debt on utility projects • Update purchasing policies and procurement levels • Adopt multi-year CIP • Contract for bank depository services • Update fund balance policy • Implement GIS work order system for public works • Consider approval of a Tax Abatement policy • Consider approval of a Vehicle and Equipment Replacement Fund (VERF) Action Items – Important to Begin or Continue • Develop a multi-year budget perspective • Submit for third year of CAFR Excellence Award • Submit for first budget excellence award • Maintain transparency initiative • Develop and submit for approval a grant management policy • Recommend a TIRZ policy • Install computer kiosk for inspection requests • Implement credit card payments for permits and inspections • Maintain utility rates that meet financial requirements Town of Prosper 2013 Strategic Plan 11 GOAL – A QUALITY WORKFORCE Long-Term Objectives: • Establish professional Human Resources function to attract, develop, and retain a quality workforce • Maintain a high-performance workplace culture • Maintain a competitive salary and benefits program Action Items – Urgent and Important • Recommend a pay-for-performance program • Re-design the performance review/management process • Fill the newly created HR Director position • Select updated benefit plans • Complete mandatory training requirements Action Items – Important to Begin or Continue • Update and submit compensation schedules for approval • Improve on-line recruiting efforts Action Items – As Time/Resources Allow • Implement better system for employee communication • Update staffing needs assessment to ensure excellent service levels • Re-engage culture team GOAL – TOWN FACILITIES Long-Term Objectives: • Complete the Interim Town Hall and interim Police facility • Complete plan and design for new long-term Town Hall and Police facility complex • Complete plan and design for multi-purpose Recreation/Library/Community Center Action Items – Urgent and Important • Construct new temporary public works office and storage building • Move forward with purchase of property for interim Town Hall • Complete design and begin construction of new interim Town Hall • Purchase land site for future fire station in area of Cook Lane and Prosper Trail • Resolve location for Fire Station in Terra Verde area and begin construction • Prioritize CIP needs for Town facilities • Review and update needs assessment for Town facilities based on build out Town of Prosper 2013 Strategic Plan 12 TOWN OF PROSPER 2012 ACCOMPLISHMENTS & PROGRESS REPORT • Sent everyone home safe • Filled vacant Assistant Fire Chief position • Replaced fire engine • Record number of building permits • Code compliance – downtown cleanup • Adopted the Comprehensive Plan • Community built playground • Multi-million dollar infrastructure upgrade underway • Initiated Terra Verde, Wilson Creek Interceptor, and West Side water and sewer lines • Custer Rd. pump station expansion • Second water line design • Records training from the state on record retention • Council training • Expanded choices for medical insurance • Decreased dependent coverage costs • Limited purpose annexation • Maintained a high level of customer service • Library • Improved quality and selection of collection • Increased attendance • Implemented a collection data base • Implemented re-bar coding for the collection • Created separation of duties in accounting to maintain controls • Maintained unaccountable water at <5% • Held community events: Trout Derby; Council Community Picnic; Christmas Festival • Held second class of Citizens Police Academy • Installed AED in Council chambers • Implemented on-line public request forms • Purchased park land • Maintained superior water system • Re-paved Prosper Trail • Dedicated resources to the HR function • Automated 25% of utility bill payments • Created new focus for the Economic Development office • Created Matthews SW TIRZ #2 • Adopted Economic Development strategic plan • Police Department • Added three people • Added two vehicles • Completed the Police Department strategic plan • Issued General Obligation bonds • Added to fund balance • Maintained AA3 credit rating • Received second CAFR Community Excellence Award • IT • Removed IT from the AT&T grid • Began consolidation of exchange servers • Began improving IT infrastructure • Locked in solid waste rate for three years • Began the drainage program • Launched the Real Water Conservation Web page 1 A Report From MIKE PIETSCH, P.E. CONSULTING SERVICES, INC. To THE TOWN OF PROSPER Improving The Town of Prosper’s ISO Public Protection Classification (Areas Afforded Fire Hydrant Protection) February 1, 2012 Submitted by: W. Michael Pietsch, P.E. Civil Engineer Mike Pietsch, P.E. Consulting Services, Inc. 3101 S. Country Club Rd. Garland, TX 75043-1311 Phone: 972-271-3292 Fax: 972-840-6665 E-Mail: michaelpietsch@tx.rr.com 2 A Report From MIKE PIETSCH, P.E. CONSULTING SERVICES, INC. To TOWN OF PROSPER Improving The Town of Prosper’s ISO Public Protection Classification (Areas Afforded Fire Hydrant Protection) What is Insurance Services Office, Inc. (ISO)? To help establish appropriate fire insurance premiums for residential and commercial properties, insurance companies need reliable, up -to-date information about a municipality’s fire protection services. Insurance Services Office, Inc. (ISO) is the principal (and most precise) provider of this information through the Public Protection Classification (PPC) program. What is the Public Protection Classification (PPC) Program? ISO collects information on a community’s public fire protection and analyzes the data using their Fire Suppression Rating Schedule (FSRS). ISO then assigns a Public Protection Classification from 1 to 10. Class 1 represents the best public protection while Class 10 indicates less than the minimum recognized protection. By classifying a community’s ability to extinguish or control a structural f ire, ISO assists communities in evaluating their public fire protection infrastructure. The program provides an objective, countrywide standard that assists communities in planning and budgeting for facilities, equipment, and training. By securing lower fire insurance premiums for communities with better public protection, the PPC program provides incentives and rewards for communities that choose to improve their firefighting services. ISO has extensive information on more than 50,000 fire-response jurisdictions. 3 Explanation of the Fire Suppression Rating Schedule (FSRS) The Fire Suppression Rating Schedule is the manual ISO utilizes in reviewing the firefighting capabilities of individual communities. This schedule evaluates the three major items comprising a community’s fire suppression infrastructure and develops a numerical grading called a Public Protection Classification (PPC). The items considered are Fire Alarm, Fire Department, and Water Supply. Fire Alarms Ten percent of the grading point total is based on how efficiently calls for emergency service are received and dispatched. ISO Field Representatives will evaluate the communications center. They consider the number of operators at the center, the telephone service, including the number of telephone lines coming into the center, and the listing of emergency numbers in the principal telephone directory. Field Representatives will also evaluate the number of dispatch circuits and how the center notifies firefighters of an emergency. Fire Department Fifty percent of the grading point total is based on the infrastructure of the fire department. ISO reviews the distribution of fire companies throughout the graded area and verifies apparatus response to structural alarms of fire. The ISO F ield Representative will inventory each engine, ladder and service company, both in service and reserve, to verify the existence of nozzles, hose loads, breathing apparatus, and other major equipment. ISO also reviews the fire-company records to determine:  Type and extent of training provided fire-company personnel  Firefighter response to emergency calls for service  Maintenance and testing of fire department’s apparatus  Engine, ladder and service companies availability for response to first alarm structural fires  Location of companies to minimize response times to fire emergencies Water Supply Forty percent of the grading point total is based on the community’s water supply, distribution system, and proximity of fire hydrants to existing structures. Th is item focuses on the community’s ability to provide sufficient water supply for fire suppression beyond maximum daily consumption. ISO surveys all components of the water supply system, including pumps, storage, and filtration. Field Representatives wi ll observe fire- flow tests at representative locations in the community to determine the rate of flow provided by the distribution system. Last, fire hydrant distribution is analyzed by counting the fire hydrants within a 1,000 -foot hose lay distance from each needed fire flow (targeted structures). 4 Texas Addendum Unique to the State of Texas is a document titled the Texas Addendum (sometimes called the Texas Exception). This document analyzes the effectiveness of the Fire Marshal and Building Code Offices and assigns additional credit for compressed air foam systems on in-service engines. A second section of this document assigns credit to communities that allowed a certain percentage of their firefighters to attend Fireman’s Training School and volunteer firefighters that have obtained at least the basic firefighter certification. Mathematically, this section could add an additional 11.39 points to a grading point total. Normally 4 to 7 additional grading points are achieved via the Texas Addendum. 5 The Effect of PPC Code on Fire Insurance Premiums All insurance companies (whether they admit or not) utilize ISO’s PPC classes in establishing premiums for both commercial and residential property policies. Here’s how it works: PPC and Commercial Fire Insurance Premiums Insurers determine insurance premiums for commercial properties after analyzing size, construction type, occupancy, protection (such as fire extinguishers and automatic sprinklers), and exposure to adjacent structures. For individual properties, either class rating or specific rating applies. In class rating, the insurer develops rates for similar types – or classes – of buildings, such as small churches, schools, or motels. Specific rating includes an on-site survey and analysis of conditions at the particular property to determine the premium rate. Insurers use specific rating for buildings protected by automatic sprinklers, buildings with specific hazards or processes, or other properties that do not meet the criteria for class rating. Both class rating and specific rating consider the Public Protection Classification at the property. Insurers develop their rating systems in order that the lower (better) the PPC at a given commercial property, the lower the insurance rate. In addition a lower (better) PPC has been shown to be an excellent economic development tool along with positively affecting a community’s bond rating. ISO’s Methodology A community may request an ISO survey anytime they wish . At that time an ISO Field Representative will be assigned the survey. He will contact the community and set a time convenient to both the community and ISO. He will analyze the community’s fire defenses as outlined under the “Explanation of the FSRS”. An extensive amount of support data will be required to verify answers to specific questions that are utilized to analyze the three major items that comprise a community’s grading point total. When all questions are answered and the support data is prop erly formatted the Field Representative will return to his office and complete the grading. When the grading is complete he submits it for review. After the review is complete the grading is then submitted to the community for their review. If the commu nity feels all grading items were analyzed fairly the grading is sent to the State Fire Marshal’s Office for their approval. Once the State Fire Marshal’s Office approves the grading the community is notified via a letter to the District Manager or Mayor of their new rating. This entire process normally takes around 1 year. 6 Explanation of Study This report will analyze the ISO PPC (Public Protection Classification) for the Town of Prosper utilizing the Prosper Fire Department which serves the Town of Prosper and then develop a grading scenario that should result if an ISO survey was requested. Based on the grading scenario a list of suggested improvements will be demonstrated via a report, which if implemented, will assist the Town of Prosper in improving the ISO PPC for all areas within the boundary of the Town of Prosper afforded fire hydrant protection. Areas void of fire hydrant protection (structures outside a 1000 -foot hose lay distance of a creditable fire hydrant) are not considered within this report. These areas, if they exist within the town limits of the Town of Prosper, must be analyzed via ISO’s alternative water supply evaluation; a totally different set of grading criteria. This scenario will require that the Prosper Fire Department have in-service: 3 engine companies and 1 ladder truck company (please note that throughout this report the company implies both the apparatus and staffing required to operate the apparatus). These engine and ladder truck companies should be available to respond to all reported structure fires from 3 fire stations to optimize the grading point total that develops the ISO PPC for areas afforded fire hydrant protection. In addition the residential area located in the far southwest corner of the Town of Prosper is well over 5-road miles from the nearest fire station and will receive an ISO rating of 10 (no recognized fire protection). The citizens residing in this area will pay the highest possible insurance rate; assuming they can obtain residential coverage. At present 3 major insurance companies will not write or renew class 10 areas. Please note that this class 10 area does not require a fire station to develop the Town of Prosper’s ISO PPC; but it does require some type of fire department coverage to extend the Town of Prosper’s ISO PPC. Water supply must provide at least 3500 -gpm for 3 hours while delivering a maximum daily consumption rate which has occurred during the last 3 -years. Throughout the community the distribution system capacity and fire hydrant placement must meet the needed fire flow demand as determined by the ISO rating document. The communications center will be analyzed based on NFPA 1221 as interpreted by ISO. The Offices of the Fire Marshal and Chief Building Official will be reviewed based on the Texas Addendum. The Texas Addendum is a separate rating document developed by the Texas Department of Insurance and interpreted by the Texas State Fire Marshal. The Texas Addendum is not an ISO document. At the conclusion of this scenario a list of suggested improvements will be presented which, if implemented, will improve the ISO Public Protection Classification for Town of Prosper. 7 Executive Summary Based on information obtained during my recent survey for the Town of Prosper the Prosper Fire Department will be required by the ISO Rating Document to have in - service, available to respond to all reported structural alarms of fire, a minimum of 3 engine companies and 1 ladder truck company deployed from 3 fire stations. At present the Prosper Fire Department responds only 2 engine companies to all first alarm structure fires. The 2 engine companies are deployed from a single fire station. Tankers will not be addressed within the body of this report. Tankers do not receive a significant amount of ISO rate credit for class 8 or better if the area has a creditable water system with fire hydrant protection. Tankers are an integral part of an alternative water supply evaluation for areas outside a 1000 -foot hose lay distance of a creditable fire hydrant. The Prosper Fire Department will be required to have a reserve engine and a reserve ladder truck (even though a ladder truck is presently not provided) unless an agreement for reserve apparatus is available. Due to the fact that ISO’s rating document allows a memorandum of understanding between fire departments for reserve apparatus this report will not suggest the purchase of additional apparatus to serve as reserve unless replacement apparatus is funded. If replacement apparatus is provided it would be beneficial within the ISO Rating Document to retain the phased out apparatus as reserve. With the purchase on our new Engine we now have the Engine part covered. Areas of significant deficiency within the Fire Department section are: Insufficient staffing for the in-service apparatus (by far the most significant deficiency within the entire process that develops the ISO grading point total for your community), a ladder truck company is required but not provided, a third engine company is required but not provided and 2 additional fire stations are required. The Water Supply section demonstrates a very good level of compliance with the ISO Rating Document. Water supply, where fire hydrants are available for fire protection, is sufficient throughout most of the Town of Prosper based on the fire demand. 1 item that demonstrates a mild deficiency is the lack of a complete fire hydrant inspection program. The Fire Dept flows and inspects each fire hydrant within the Town and has for several years. Last year we flowed and tested over 975 hydrants with another 100 expected to come online this year. Fire Service Communications demonstrated 3 major areas of deficiency. The first significant deficiency is the lack of on-duty dispatchers and supervisors at the communications center located in the Town of Prosper. The second significant deficiency is the lack of a second method to dispatch structural alarms of fire as required by NFPA 1221 and the ISO rating document. The third significa nt area of 8 deficiency is that monitoring for integrity status is not provided for the primary dispatch method as required by NFPA 1221 and the ISO rating document. Fire Safety Control demonstrated only 1 significant area of deficiency; the fact that at least the 2009 edition (2012 would be preferable) of the International Body of Codes is not adopted by ordinance and enforced throughout the town limits of the Town of Prosper. Some new actions at the state level have prevented us from doing this. As soon as some legal issues are cleared up we plan on doing this. At present, the Town of Prosper is assigned an ISO PPC of 5. This rating was established in 2003 (51.74 grading point total). The grading scenario presented within this report demonstrates that the ISO rating will improve to an ISO PPC 4 (barely; 61.15 grading point total – 60.00 to 69.99 establishes an ISO PPC 4) with the existing fire defense infrastructure for the areas afforded fire hydrant protection within the Town of Prosper. However, with the implementation of several of the suggested improvements within this report {providing the Prosper Fire Department with an elevating platform or aerial ladder truck company (apparatus and staffing) and erecting a second fire station} an ISO PPC 3 is very achievable and an ISO PPC 2 is possible. To guarantee an ISO PPC 2 will require the erection of a third fire station deploying a third engine company. If an ISO PPC of 4 were established for the areas presently assigned an ISO PPC 5 the commercial property owners within 5 road-miles of a fire station and 1000 feet of a fire hydrant would save a possible 4 per cent (effect of lowering the PPC from a 5 to a 4) and the residential property owners within 5 road -miles of a fire station and 1000 feet of a fire hydrant would save a possible 5 per cent (effect of lowering the PPC from a 5 to a 4). If an ISO PPC of 3 were attained for the areas presently assigned an ISO PPC 5 the commercial property owners within 5 road-miles of a fire station and 1000 fe et of a fire hydrant would save a possible 13 per cent (effect of lowering the PPC from a 5 to a 3) and the residential property owners within 5 road -miles of a fire station and 1000 feet of a fire hydrant would save a possible 7 per cent (effect of lowering the PPC from a 5 to a 3). If a sufficient number of the suggested improvements were implemented in order that an ISO PPC of 2 were attained the commercial property owners within 5 road -miles of a fire station and 1000 feet of a fire hydrant would sa ve a possible 15 per cent (effect of lowering the PPC from a 5 to a 2) and the residential property owners within 5 road - miles of a fire station and 1000 feet of a fire hydrant would save a possible 14 per cent (effect of lowering the PPC from a 5 to a 2). As pointed out in the above paragraphs an ISO PPC of 3 is critical to the commercial property owners and an ISO PPC of 2 is critical to the homeowners. If a sufficient number of the suggested improvements were implemented in order that an ISO PPC of 1 were attained the commercial property owners within 5 road -miles of a 9 fire station and 1000 feet of a fire hydrant would save a possible 17 per cent (effect of lowering the PPC from a 5 to a 1) and the residential property owners within 5 road - miles of a fire station and 1000 feet of a fire hydrant would save a possible 15 per cent (effect of lowering the PPC from a 5 to a 1). Even though a Class 1 does not receive an appreciable reduction in insurance premiums over an ISO PPC of 2 it has been shown to be an extremely valuable economic development tool. As an example of the effect of an improved ISO PPC: If a homeowner’s premium is $2,000 per year and the ISO PPC improves from a 5 to a 3 resulting in a 7% reduction in the ISO PPC the 7% reduction applies to the entire premium in Texas (not just the fire portion as it does in other States). Therefore, the homeowner would see the entire $140 reduction in annual premium if all endorsements (perils and property value) remained the same. This information is generated and updated annually by the Texas Department of Insurance and published by The Texas State Fire Marshal’s Office; not ISO. Whereas $140 per year may not seem like a significant amount of money; consider each home in the Town of Prosper afforded fire hydrant protection and extrapolate $140 per year over the 20 -year life span of an ISO PPC and that amount of money is very significant to the citizens of your community. The Town of Prosper has presently been assigned an ISO rating of 5 for area s within a 1000-foot hose lay distance of a fire hydrant and 5 -road miles of a fire station. If this rating of 5 improves to a 3 it is most likely that the Town of Prosper will be edited at ISO’s Home Office in New Jersey (much more severe edit) not ISO’s Regional Office in Austin. I know this as fact; I edited these ratings for over 11 years. It has been my experience that any grading point total that develops an ISO PPC must move well into the new class in order to guarantee that the rating remains in that class after the review is complete. I would not feel comfortable submitting a grading point total less than 73.00 to New Jersey if the mission of the Town of Prosper is to achieve a Public Protection Classification of 3. The grading point total would need to exceed 83.00 for an ISO PPC of 2 or 93.00 for an ISO PPC 1. 10 Analysis of the Report This report will demonstrate a grading point total which develops an ISO rating that should result if an ISO Public Protection Survey was requeste d for the areas within the Town of Prosper afforded fire hydrant protection. Each of the suggestions presented within this report is prioritized by its importance and tempered by its cost. The suggested improvements within this report relate only to a fire insurance classification for the Town of Prosper. These suggestions are not for property loss prevention or life safety purposes and no life safety or property loss prevention recommendations are implied or made. Grading Scenario The Basic Fire Flow will be 3500-gpm. Based on the existing fire defense infrastructure of Town of Prosper the grading point total for the areas afforded fire hydrant protection is 61.15 (ISO PPC 4). Please see the grading summary at the conclusion of this report for a more detailed explanation. The grading point of 61.15 will be the benchmark for improving the Town of Prosper’s ISO rating to 73.00 (Class 3), 83.00 (Class 2), or 93.00 (Class 1). The suggestions which follow apply only to the areas within the Town limits of the Town of Prosper afforded fire hydrant protection: General 1. An excellent map exists which demonstrates the streets and fire hydrants within the town limits of the Town of Prosper. Making sure each fire hydrant (public and private) available to the fire department serving the Town of Prosper is plotted on this map is critical to improving the ISO Public Protection Classification of your community. This suggestion is an absolute. We already have these maps. 2. A second map must be developed that d emonstrates the built-upon and non built-upon area with the desired graded boundary served by the Prosper Fire Department. This map must also demonstrate the areas within the town limits of Town of Prosper that cannot be built upon (flood plain, golf cour se, lake, etc.). This map should be on a single page (not a set of sectional maps). This suggestion is an absolute. We already have these maps. 11 Fire Department For a community to provide a reasonable level of protection under the analysis system used, a fire department should have suitably located apparatus of proper types. In general, the maximum response distances for the first due engine company should not exceed 1.5-miles and for the first due ladder/service truck company should not exceed 2.5-miles. Any area (regardless of the water supply available) outside 5 -road miles of a fire station housing an engine company is considered not protected (ISO PPC 10). Critical to the timely extinguishment or control of a fire is the need for sufficient firefighters arriving with the first responding apparatus. A comprehensive training program for these firefighters is essential for effective fire ground operations. The Prosper Fire Department is required by the ISO rating document to maintain 3 engine companies and 1 ladder truck company in-service, available to respond to structural alarms of fire, for areas afforded fire hydrant protection, within the Town of Prosper deployed from 3 fire stations. A reserve engine and a reserve ladder truck are also required. The following suggestions are offered for your consideration: 1. For improved first due response distances, consideration should be given to the erection of 2 additional fire stations: The suggestions are listed in their priority order and will maximize the ISO rating for the Town of Prosper. a. A second fire station should be erected in the vicinity of E. Prosper Trail and the southern extension of Winding Creek. This fire station should house the second engine company presently deployed from e xisting fire station #1. Please note that for this fire station to receive its maximum response district credit Winding Creek should be extended to the south and tie with E. Prosper Trail. In addition Amberwood should be extended to the west and tie with Winding Creek. Providing this fire station and moving the existing second engine company presently deployed from fire station #1 will add 2.04 points to the grading point total. The second fire station is planned for 3188 East Prosper Trail. Extending Winding Creek or Amberwood is not in any thoroughfare plan of even feasible. b. A third fire station should be erected in the vicinity of W. Prosper Trail and Kirkwood housing a third engine company. Providing the third fire station and the required third engine company will add 8.84 points to the grading point total. Looking around Cook Ln, Centex Property. To extend the ISO rate credit to the area in the far southwest corner of the Town of Prosper an additional fourth fire station is required deploying a fourth engine company. This fire station is not required to improve the ISO PPC; however, it is 12 needed to extend the benefit of the ISO PPC to all citizens within the town limits of the Town of Prosper. This developed area is approximately 6.50-road miles from existing fire station #1 (12 to 15 minute fire department response). Any area outside 5-road miles of a fire station is rated an ISO PPC 10 (no recognized fire protection) regardless of the water supply and distribution system infrastructure. Windsong Ranch. We have 10 acres for three sites. Working on a location and building. 2. Provide the Prosper Fire Department with a fully equipped elevating platform or aerial ladder truck company. The list of required equipment is presented within the body of this report. If just the apparatus were provided (without the additional staffing) 6.95 points would be added to the grading point total. If 3 additional firefighters were provided on-duty 24/7 an additional 4.86 points would be added to the grading point total. Therefore a total of 11.81 points would be gained if the apparatus and staffing were provided. This ladder truck company should be housed at existing fire station #1 located on E. First St. Apx cost is 1.3 m for the vehicle plus 12 personnel. 3. Provide the Prosper Fire Department with a fully equipped third engine company. The list of required equipment is presented within the body of this report. This engine should be housed at proposed fire station #3 located a t W. Prosper Trail (Cook Lane) This third engine company is worth 7.13 of the 8.84 points listed under suggestion 1b of the fire department section above. 4. This report will not suggest providing a reserve engine. However, a recent technical decision has been adopted by ISO that allows c ommunities to share reserve apparatus. There is not a distance restriction on this sharing arrangement. If a community with a reserve engine would enter into a sharing agreement with the Prosper Fire Department whereas the Prosper Fire Department could utilize a reserve engine if needed, full credit would be granted by ISO. If this sharing arrangement was documented 0.94 points would be added to the grading point total which develops the ISO PPC for the Town of Prosper. This was completed with the purchase of our new engine. 5. This report will not suggest providing a reserve ladder truck. However, a recent technical decision has been adopted by ISO that allows communities to share reserve apparatus. There is not a distance restriction on this sharing arrangement. If a community with a reserve ladder truck would enter into a sharing agreement with the Prosper Fire Department whereas the Prosper Fire Department could utilize a reserve ladder truck if needed, full credit would be granted by ISO. If this sharing arrangement was documented 1.40 points would be added to the grading point total for the Town of Prosper. In short what this means is we are asking Frisco if we can borrow a million dollar piece of equipment with no one qualified or trained to operate it. Not much luck so far. 13 6. The Prosper Fire Department has access to a fully ISO compliant training facility via the Training Academy at the Collin County Community College. To obtain ISO credit this facility must be utilized. As a minimum, 8 drills of 3-hour duration should be accomplished for each firefighter (both paid and volunteer) on an annual basis. These drills must be at the training facility or suitable offsite location. 4 of these drills must be multi-company; the remaining 4 drills can be single-company or multi-company. 2 of either type must be at night. Records must be maintained documenting the drills for full credit. If this was accomplished the grading point total would be improved by 3.41 points. At present 2 of the required 8-training field drills are performed each year. We are training above this level already. We have all the records to back this up. In 2012 we logged 12,921.00 hours of training. 7. The Prosper Fire Department could receive additional credits allotted to the ir grading point via the Texas Addendum by allowing a percentage of their firefighters to attend the annual weeklong Fireman’s Training School. Based on paid or volunteer members of the Prosper Fire Department attending the weeklong session of Fireman’s Training School 3.26 additional grading points are available to Town of Prosper via the Texas Addendum. Attendance at Fireman’s Training School could be a very important tool in improving the ISO Rating for Town of Prosper. Each paid or volunteer member of the Prosper Fire Department attending the spring or summer session of Fireman’s Training School as a student or instructor will add approximately 0.12 points to the grading point total. In addition volunteer members of the Prosper Fire Department that receive at least the basic volunteer certification (167-hours) will also receive the additional 0.12 points. This credit is available within the body of The Texas Addendum not the Fire Suppression Rating Schedule. We send two every year. This last year we applied for and received a grant for this. 8. Properly preplan all commercial structures within the boundaries of the Town of Prosper and update them semi-annually. Providing this level of preplanning would add 0.92 points to the grading point total. At present approximately 50% of the commercial structures within the Town limits of the Town of Prosper are preplanned. 100% Complete. 9. The Prosper Fire Department is to be commended for providing each engine in - service with 1000-feet of 5-inch hose. This suggestion is an absolute. Without this hose attaining an ISO rating of 4 or better would not be possible. Done 10. The following equipment is required for each engine and ladder truck. The equipment that is the most heavily weighted within the ISO Rating Document is denoted by an asterisk. We already carry this equipment. a. Engines in-service and reserve: 1. 1000-feet of 5-inch hose (reserve engines require only 800-feet of 2, 2.5 or 3-inch hose in lieu of the 1000-feet of 5-inch)*. 14 2. 400-feet of 2, 2.5, or 3-inch hose*. 3. 300-gallon or larger booster tank. 4. 200-feet of booster (redline) hose or 200 -feet of pre-connected 1.5- inch or 1.75-inch hose. 5. 400-feet of 1.5 or 1.75-inch hose*. 6. 200-feet of spare 1.5 or 1.75-inch hose (may be on the apparatus or in the fire station). 7. 200-feet of spare 2.5 or 3-inch hose (may be on the apparatus or in the fire station). 8. A heavy stream device (monitor – ground or portable) capable of delivering 1000-gpm*. 9. A large spray nozzle for the heavy stream device (may be carried on the engine, ladder or ladder/service vehicle for full credit)*. 10. A distributing, piercing or cellar nozzle. 11. Foam educator or a built-in foam pro-portioning system. 12. 10-gallons of foam concentrate via a built-in tank or in 5-gallon containers. 13. 15-gallons of foam concentrate in reserve. This can be on the apparatus or in the fire station. 14. 2, 2.5-inch shut-off straight stream nozzles attached to a play pipe capable of delivering at least 250-gallons per minute*. 15. 2, 1.5 or 1.75-inch combination nozzles*. 16. 2, 2.5-inch combination nozzles*. 17. 4 self contained breathing apparatus (minimum of 30 -minute capaTown*. 18. 4 spare cylinders (minimum capaTown of 30-minutes). 19. 2, 12 x 14-foot salvage covers. 20. 2 hand lights (flashlights are not creditable). 21. 1, 2.5 or 5-inch hose clamp. 22. 1 hydrant hose gate (2.5-inch). A gated wye (2.5-inch x 1.5-inch x 1.5-inch) is creditable. 23. Gated wye (2.5-inch x 1.5-inch x 1.5-inch). 24. Mounted radio*. 25. Portable radio*. 26. 24-foot extension ladder*. 27. 12 or 14-foot roof ladder. b. Ladder truck – in-service and reserve: 1. 100-foot aerial device*. 2. Elevated stream device (elevated monitor with a minimum of a 500 - gpm large spray nozzle)*. 3. 6 self-contained breathing apparatus (minimum of 30-minute capaTown)*. 4. 6 spare cylinders (minimum capaTown of 30-minutes). 5. 10, 12 x 18-foot salvage covers. 6. Electric generator (minimum of 2.5-KW)*. 15 7. 3 portable flood lights. 8. 1 smoke ejector or positive ventilation fan* 9. 1 oxy-acetylene cutting unit (a thermal imaging camera, plasma cutting unit or chain saw with a carbide tip will substitute)*. 10. 1 power saw*. 11. 4 hand lights (flashlights are not creditable). 12. A hose hoist or hose roller. 13. 6 pike poles (2 @ 6-feet, 2 @ 8-feet, 2 @ 12-feet). 14. Mounted Radio*. 15. Portable radio*. 16. 1, 14-foot extension ladder. 17. 1, 24-foot or 28-foot extension ladder*. 18. 1, 35-foot extension ladder*. 19. 1, 40-foot extension ladder (or second 35-foot extension ladder)*. 20. 1, 16-foot roof ladder*. 21. 1, 20-roof ladder (or second 16-foot roof ladder)*. 22. 1, 10-foot collapsible (attic) ladder. Substitutions exist for some of the above require d equipment. Please contact my company for assistance as part of the contract for this report. At present both in - service engines provided the Prosper Fire Department is fully equipped. This suggestion is provided in order to make sure the apparatus are fully equipped when an ISO survey commences. 11. The single most deficient item within the entire rating process for Town of Prosper is the lack of firefighters responding to structural alarms of fire. The ISO Rating Document requires that 6 firefighters per company be on-duty with each existing engine and ladder truck. This level of staffing is needed at the fire site for optimum utilization of the apparatus, and when the staffing level drops below 4 firefighters per company, the ability to utilize the ap paratus effectively is seriously impaired. I would deem this report incomplete unless I point out that no fire department in Texas maintains 6 firefighters per company on -duty (paid staffing) with each of the first due apparatus. However, many communities strive to maintain a minimum of 4 firefighters, on-duty with each of the existing engine and ladder truck companies. For a volunteer or combination fire department the maximum staffing credit that can be attained is the equivalent of 4 career firefighte rs on duty with each engine or ladder truck. The volunteer equivalent of 4 career firefighters is 12 volunteer members responding to structural alarms of fire with each engine or ladder truck. For the fire department serving the Town of Prosper to meet the requirement 12 volunteer firefighters should respond to all structural alarms of fire. This level of volunteer response normally is associated with a volunteer roster of approximately 30 members. It is unrealistic to believe that the Prosper Fire 16 Department could attract this level of volunteer participation based on the present level of volunteer response to structural alarms of fire. Therefore, improvement in staffing levels should be developed via paid firefighters. At present, based on structure fire reports, the volunteer response averages 1 to 2 firefighters during the normal workweek and 3 to 5 volunteers during the night, a holiday, or on weekends. An alternative method to improve staffing credits within the ISO Rating Document is to develop duty crews. The duty crew is a group of volunteers that are on -duty at a specified fire station during certain hours of the day and/or night. A duty crewmember receives the identical credit as a paid firefighter. The hours a duty crewmember is on-duty at the fire station is prorated. For example 6 duty crewmembers on-duty 28 hours per-week is the equivalent of 1 paid firefighter on-duty at all times. ISO will require extensive documentation which demonstrates the hours that a duty crewmember is on -duty at the fire station. A second method to improve the level of fire department staffing is increasing volunteer response to first alarm structural fires. This normally requires increasing the base of volunteers in order that more volunteer firefighters are available to respond. Most likely this is not a viable option for the fire department serving the Town of Prosper. A third method to improve fire department staffing levels is the provision of additional paid firefighters. These additional paid firefighters could perform maintenance duties, prepare the preplans, and assist with the Fire Marshal’s building inspections as available. Each paid firefighter or duty-crew member on-duty 24/7 would add 1.38 points to the grading point total. Each additional volunteer firefighter captured on the incident reports as responding to structural alarms of fire would add 0.46 points to the grading point total. Please note that there exists a possible 15 points available for staffing. Town of Prosper received only 6.14 of these 15 available points. 17 Receiving and Handling Alarms of Fire In order to assure a timely response to fire emergencies a communications center must have adequate telephone facilities (emergency and business circuits) for the public to report emergencies, sufficient operators on duty, and the facilities to dispatch fire department companies without interruption. The following suggestions are offered for your consideration: 1. Provide the primary fire department dispatch circuit with monitoring for integrity. This requires a visual and audible alert be activated if a principal component of the dispatch circuit is rendered inoperable. To receive credit under the ISO Rating Document the following must be satisfied: Please note that any requirement followed by an N/C results in no credit for this monitoring even though all the other items are provided. The items without an N/C must be available for full credit. Pro-rated credit is available for the items without an N/C. a. A list of the principal components of the primary dispatch circuit that are monitored must be provided: N/C b. All portions of the circuit and all components must be identified for integrity status/failure condition. In addition all circuit components must be monitored for power supply and emergency power integrity/failure with both visual and audible trouble signals: N/C c. Power supply and emergency power integrity/failure condition must be monitored for the circuit and all components at all locations including remote radio transmitter/receiver antenna sites. N/C d. All portions of the circuit and all components must be identified for integrity status/fault condition and all circuit components must be monitored for power supply and emergency power integrity/failure with visual and audible trouble signals. N/C e. Verification of visual signal activation with test circuit failure feature as specified in NFPA Standard 1221 must be provided. f. Verification of audible signal activation with test circuit failure feature as specified in NFPA Standard 1221 must be provided. The audible trouble signal can be an intermittent or continuous tone or buzzer. g. Verification of reactivation of audible trouble signal when an additional fault condition occurs while previous silenced fault condition remains active as specified in NFPA Standard 1221 must be provided. 18 h. Trouble signals routed to a dedicated display screen or panel not used for routine dispatching activities as specified in NFPA Standard 1221 must be provided. i. Trouble signals must be displayed at a location where personnel are in constant attendance and are responsible to respond to a trouble signal as specified in NFPA Standard 1221. N/C j. For radio circuits duplicate transmitters must be provided for the primary dispatch circuit as specified in NFPA Standard 1221. N/C Providing this level of monitoring will add 1.50 points to the grading point total. 2. Provide additional personnel for the communications center serving the Town of Prosper in order that 2 dispatchers and 1 supervisor are on duty at all times. Based on the annual call volume for emergency service (Police, Fire and EMS – First Responder) NFPA 1221 and the ISO rating document require this level of staffing. At present the ISO equivalent of 1.43 dispatchers and 0.2 7 of a supervisor are on-duty at all times in the communications center. If the additional personnel were assigned to the communications center 1.29 points would be added to the grading point total. This item, as are most items comprising the ISO rating document, can be prorated; therefore, any improvement in the dispatch staffing levels will improve the grading point total which develops the ISO PPC. 3. NFPA 1221, as interpreted by ISO, requires that all fire departments receiving in excess of 730 emergency calls for service per year to dispatch all structure fire calls via 2 separate independent methods; a primary method and a secondary method. The Prosper Fire Department meets this standard for a primary method consisting of a radio circuit to the station alerting device and handheld radios. The secondary dispatch method utilized by the Prosper Fire Department is a text messaging service via a cell phone. Due to reliability issues ISO disallows credit for any alerting method utilizing a cell phone. If a second independent method of dispatching structural fire calls was provided, which meets ISO’s interpretation of NFPA 1221, 1.75 points would be added to the grading point total which develops the ISO PPC for the Town of Prosper. 19 Water Supply For a water supply works to be considered adequate under the analysis system used, it should be able to deliver the basic fire flow (3500 -gpm) for a 3-hour period and during that period provide consumption demands at the maximum daily rate. The arterial mains and secondary feeder mains should be of sufficient capa city to deliver the needed fire flows throughout the community. The arterial mains should extend to all areas of the community; they should be looped for mutual support and spaced at approximately 3000-foot intervals or less. The minimum size distribution main should be 6-inches (8-inches is preferred) in diameter and this size used only in widely spaced residential areas when the gridiron is such that there is not over 600 -feet between connections to other mains. A 6-inch dead-end main is not considered satisfactory for supplying fire hydrants. A minimum size of 8 -inch pipe (10-inch is preferred) should be used in commercial and high-density residential areas and this size pipe should be limited to areas with an excellent gridiron. This will help insure meeting the corresponding fire demand throughout the community. Before the water supply available can be fully utilized by the fire department, there must be sufficient fire hydrants in the vicinity of the subject buildings. The number of hydrants required varies with the fire flow demand but when the spacing is not over 300 - feet in commercial, industrial, and institutional areas and not over 600 -feet in one and two family dwelling areas, sufficient hydrants normally will be available. Hydrants should conform to the American Water Works Association Standards. The connection from the distribution main to the hydrant should be not less than 6 -inches in diameter. Hydrants attached to water mains less than 4-inches in diameter are not credited within ISO’s Rating Document. All hydrants should be inspected twice per year with a pressure test (a pressure test is not a flow test); complete records should be kept of all inspections. The following suggestions are offered for your consideration: 1. Improving arterial looping, distribution system gridirons, and hydrant distribution will help improve the water supply item of the grading (35 points are assigned to this grading item). There exist a possible 6.42 available points within this grading item. This is the most heavily weighted item within the development of the grading point total. The results based on a flow-testing program throughout the town limits of the Town of Prosper will be the single most critical item within the entire grading process for the Town of Prosper. A quantitative method does not exist to analyze prospective improvements in this aspect of the grading until 20 such improvements are implemented; therefore, no additional point tot al will be shown. 2. Fire hydrants should be inspected semi-annually with proper records maintained throughout the town limits of the Town of Prosper. Each fire hydrant should be pressure tested semi-annually (a pressure test is not a flow test) as part of the inspection process. If the suggested level of inspection and maintenance were provided 0.47 points would be added to the grading point total. The Fire Dept flows and inspects each fire hydrant within the Town and has for several years. Last year we flowed and tested over 975 hydrants with another 100 expected to come online this year. 21 Fire Safety Control The consistent, systematic application of fire safety control regulations combined with a good public education program in fire prevention can be an important factor in reducing the overall incidence of fire and the consequent fire losses. Successful execution of such programs necessitates that a sufficient number of properly trained personnel be provided. A nationally recognized body of model fire prevention, building and safety codes represent the combined knowledge of many experts in this field and, when adopted with little or no modifications, afford a community the opportunity for reasonable control of hazardous materials and building construction. The following suggestions are offered for your consideration: 1. The Town of Prosper should adopt at least the 2009 edition (2012 would be preferable) of the International Body of Codes and enforce them throughout the town limits of the Town of Prosper. Providing the suggested International Body of Codes and enforcing them throughout the Town of Prosper is critical to improving the ISO rating for the Town of Prosper. Providing these updated editions of the International Body of Codes would add 0.92 points to the grading point total. By the time an ISO commences the credit for adopting the most recent edition (or 1 edition out of date) of the International Body of Codes and enforcing them throughout the town limits of the Town of Prosper could have a much larger impact on the ISO rating for the Town of Prosper. As long as we do not update our code we are ok, if we update we lose this. We are waiting on the larger cities to challenge this. The Texas law is clearly a misguided preemptive strike against the International Code Council's International Residential Code, the 2009 edition, which will require residential sprinklers in 2011. The Texas building code, however, actually references the 2000 edition of the IRC. Texas Local Government Code states that municipal building codes must reference the IRC as it existed on May 1, 2001. S.B. 1410 started out as a revision of the plumbing code. It requires that contractors who install multi-purpose residential plumbing and fire sprinkler systems must be licensed plumbing contractors. The contractors have to prove to the Texas State Board of Plumbing Examiners that they have been trained to install residential fire sprinkler systems, pass a test as devised by the board and pay a fee. Contractors would have to renew their licenses every three years. “Not later than March 1, 2010, the Texas State Board of Plumbing Examiners shall begin administering examinations and issuing multipurpose residential fire protection sprinkler specialist endorsements … .” But at the behest of the homebuilders' association, the law prohibits local sprinkler mandates, including one passed this year by the town of West University Place. “Notwithstanding any other provision of state law, after Jan. 1, 2009, a municipality may not enact an ordinance, bylaw, order, building code, or rule requiring the installation of a multipurpose residential fire protection sprinkler system or any other fire sprinkler protection system in a new or existing one or two-family dwelling,” the law reads. 22 But the law, on the other hand, specifically states that it's ok for a contractor to try to sell a multipurpose system to homeowners. Several towns in North Texas already have some sort of residential sprinkler requirement for either multi-family housing or large homes, including Farmers Branch, Plano, Allen and Celina. State Rep. John Otto, Dayton, Texas, authored the anti-sprinkler amendment. Otto said he was trying to protect local control by leaving the fire sprinkler decision in the hands of homeowners. 2. The Prosper Fire Department is to be commended for providing a compressed air foam unit for 1 of the 2 engines in service. The provision of compressed air foam has added 1.50 points to the grading point total which develops the ISO PPC. Summary of Suggested Improvements When the suggested improvements, which are referred to as absolutes, and the additional suggestions, which are within the budget constraints of the Town of Prosper, are implemented a future ISO survey should be requested to establish an ISO PPC 4 or 3. When the suggested improvements which require significant capital expenditures and take a year or more to implement are in-service a future ISO survey should be scheduled in order to improve the ISO PPC to a 3 or 2. 23 Plan of Action Action Plan # 1: Request an ISO survey and improve the ISO rating for the areas afforded fire hydrant protection presently rated an ISO PPC 5 within 1 -year to an ISO PPC 4 or 3: Improving the ISO PPC for these areas would reduce both the homeowners and the commercial property owners annual insurance premium. The actual savings would be based on how much improvement was attained. Approximate savings are demonstrated within the executive summary of this report. 1. Implement the suggested improvements that require very little capital expenditures such as: a. Memorandum of Understanding for the use of a reserve ladder truck – add 1.37 points. b. Memorandum of Understanding for the use of a reserve engine company – add 0.94 points. Done. c. Complete the preplanning program for all commercial businesses – add 0.92 points. Done. d. Utilize a neighboring training facility and perform 8 drills of at least 3 -hour duration, per year at the training facility or suitable offsite location for each member (both paid and volunteer) within the Prosper Fire Department - add 3.41 points. This grading item may be prorated; therefore any additional training field evolutions by the Prosper Fire Department will improve the ISO grading point total which develops the ISO PPC. Done. e. Update the International Body of Codes to the 2009 or 2012 edition – add 0.92 points. If suggestions a thru e were implemented 7.56 points will be added to the grading point total of 61.15. This would place the Town of Prosper well above the threshold of 63.00 grading points required to guarantee an ISO PPC 4. In addition implementing the above 5 suggestions will position the Town of Prosper very near the threshold of 70.00 required for an ISO PPC 3. The goal for the Town of Prosper is 73.00 to guarantee t he ISO PPC 3; however, it is possible to achieve an ISO PPC 3 without the grading point total exceeding 73.00. If an ISO survey commenced, with the implementation of the above 5 suggestions, it is possible an ISO PPC 3 could be achieved; it is a certainty that an ISO PPC 4 will result from a future survey if I assisted the Town of Prosper throughout the survey process (data assimilation and field survey). 2. Request a survey from ISO. Once a Field Representative is assigned to the Town of Prosper the Town of Prosper should initiate a request for a pre-survey 24 packet. This packet is extremely time consuming and tedious to complete. I know as I designed this packet in 1997 for all Field Representatives throughout the United States. My assistance would save Town Officials a considerable amount of time in filling out this packet. In addition the ISO Field Representative will have the extensive amount of required support data properly formatted to maximize the Town of Prosper’s ISO rating. 3. Set a mutually convenient time for the Town of Prosper and the ISO Field Representative to complete the ISO rate survey for the Town of Prosper. The information transfer would proceed effortlessly if I assisted the Town of Prosper throughout the survey process. This will save your Town Officials, Fire Chief, and Support Staff a great deal of time and allow them to continue their normal daily activities. My assistance assures the ISO Field Representative will have the exact information he requires. 25 Action Plan # 2: Improve (lower) the ISO PPC for all areas afforded fire hydrant protection within the Town of Prosper to an ISO PPC 3 or 2 within 3 years: This would further reduce the cost of commercial property and homeowner’s insurance. The actual savings would be based on how much improvement was attained. Approximate savings are demonstrated within the executive summary of this report. 1. Complete the suggested improvements that are economically feasible within the budget constraints of Town of Prosper; yet require significant capital expenditures. These would include: Erecting fire stations, providing additional apparatus, and improved staffing levels for existing apparatus. 2. Request a survey from ISO. Once a Field Representative is assigned to the Town of Prosper the Town of Prosper should initiate a request for a pre-survey packet. This packet is extremely time consuming and tedious to complete. I know as I designed this packet in 1997 for all Field Representatives throughout the United States. My assistance would save Town Officials a considerable amount of time in filling out this packet. In addition the ISO Field Representative will have the extensive amount of required support data properly formatted to maximize the Town of Prosper’s ISO rating. 3. Set a mutually convenient time for the Town of Prosper and the ISO Field Representative to complete the ISO rating survey for the Town of Prosper. The information transfer would proceed effortlessly if I assisted the Town of Prosper throughout the survey process. This will save your Town Officials, Fire Chiefs, and Support Staff a great deal of time and allow them to continue their normal daily activities. My assistance assures the ISO Field Representative will have the exact information he requires. 26 Conclusion Implement Action Plan #1 and establish an improved ISO PPC 4 or 3 for the areas afforded fire hydrant protection within the Town of Prosper within 1 year. When the new ISO rating of 4 or 3 becomes effective accomplish as many improvements as possible that will have a significant impact on the emergency response and the ISO rating for the Town of Prosper (Action Plan #2). When these suggestions are implemented, request a future ISO survey to further improve the ISO rating for all areas afforded fire hydrant protection within the Town of Prosper to an ISO PPC 3 or 2. The long term goal (5-year plan) for the Town of Prosper should be an ISO PPC 2. I appreciate the opportunity afforded me by the Town of Prosper. Without the excellent cooperation given me by Fire Chief Ronnie Tucker, his staff, Director of Public Works Frank Jaromon, Communications Center Supervisor Sidney Snyder, and Fire Marshal Bryan Ausenbaugh the accuracy of this report and its timely completion would have been severely compromised. I very much look forward to assisting the Town of Prosper in the future. Sincerely, W. Michael Pietsch, P.E. Civil Engineer WMP/spp 27 Grading Summary Sheet TOWN OF PROSPER Classification 4 – 61.15 I. Receiving & Handling Fire Alarms: Total 5.46, Maximum = 10 a. Item 414 - 2.00 2 b. Item 422 - 1.71 3 c. Item 432 - 1.75 5 II. Fire Department Total 23.97, Maximum = 50 a. Item 513 - 6.67 10 b. Item 523 - 0.33 1 c. Item 532 - 3.57 5 d. Item 549 - 0.38 5 e. Item 553 - 0.03 1 f. Item 561 - 1.39 4 g. Item 571 - 6.14 15 h. Item 581 - 5.13 + 0.33 (CTT) 9 III. Water Supply Total 33.11, Maximum = 40 a. Item 616 - 28.58 35 b. Item 621 - 2.00 2 c. Item 631 - 2.53 3 IV. Divergence* -6.97 V. Addendum Total 5.58 Maximum = 6.50 Town of Prosper’s Total: 61.15 Maximum = 106.50 TOWN OF PROSPER GRADING SUMMARY Page 1 VI. Total: Maximum Credit: 28 Fire Alarm 5.46 10.00 Fire Department 23.97 50.00 Water Supply 33.11 40.00 Divergence* -6.97 Addendum Credit 5.58 6.50 Town of Prosper’s Total: 61.15 106.50 Class 4 Credit Relative Classification 90.00 - 100.00 1 80.00 - 89.99 2 70.00 - 79.99 3 60.00 - 69.99 4 50.00 - 59.99 5 40.00 - 49.99 6 30.00 - 39.99 7 20.00 - 29.99 8 10.00 - 19.99 9 00.00 - 9.99 10 *Divergence is a reduction in credit to reflect a difference in the relative credits for Fire Department and Water Supply. TOWN OF PROSPER GRADING SUMMARY Page 2 Page 2 of 106 Texas Police Chiefs Association Foundation Texas Law Enforcement Agency Best Practices Recognition Program Best Business Practices Including Glossary Edition 7 January 1, 2013 Texas Police Chiefs Association Foundation P.O. Box 1030 Elgin, Texas 78621 Page 3 of 106 Limitation of Liability The Texas Police Chiefs Association and the Texas Police Chiefs Association Foundation makes no warranty, expressed or implied, for the benefit of any person or entity with regard to any aspect of the Best Business Practices included herein. These Best Business Practices were developed by professional Texas Law Enforcement officials and adopted for the sole use by the Texas Police Chiefs Association Foundation for the exclusive purpose of providing Texas Law Enforcement Agencies with the Best Business Practices of Professional Law Enforcement and as a basis of determining compliance with these practices as part of the Texas Law Enforcement Best Practices Recognition Program. There are no third party beneficiaries, either expressed or implied. These standards shall in no way be construed to be an individual act of any Board Member of the Texas Police Chiefs Association, or of any member, director, employee, agent, program coordinator, individual, or other legal entity associated with the Texas Police Chiefs Association, or otherwise construed so as to create any personal liability of any Board Member, of the Texas Police Chiefs Association, or of any member, director, employee, agent, program coordinator, individual, or legal entity associated with the Texas Police Chiefs Association. Page 4 of 106 Seventh Edition Changes The Seventh Edition has a number of changes. The information below will assist you in determining how those changes will affect your agency. New and Modified Standards: The Recognition Committee added one standard and made several changes to other standards this year. At mid-year the manual was updated with extensive new wording of many discussion sections to make their meaning easier to understand and clarify required proofs of compliance. Standard 1.13 Continuing Compliance with Best Practices is a new Standard and requires agencies to identify in a written directive who within the agency is responsible for ensuring Program requirements are maintained. It also requires the agency to design a system (manual or automated) that will ensure the continuing requirements are met. Standard 3.06 In-Service Sworn Officer Training has been changed to improve officer safety. The two year training cycle must now also include initial or refresher training in Self Aid / Buddy Aid (SABA) for all sworn members of the department. Standard 7.23 Body Armor has also been changed to improve officer safety. The standard now requires the wearing of body armor for all sworn officers in uniform field assignments. There are exceptions that can be approved by the Chief of Police in certain circumstances. Standard 8.06 Emergency Response Team Equipment has been changed as well to improve officer safety. The standard requires an agency, if it has an emergency Response Team, to provide team members with personal Self Aid / Buddy Aid equipment. New Standards and Wording Changes: New Standards and those with changes in wording or new requirements are identified in this edition by bracketing the new standard statement in a box below the original standard statement. • Agencies currently in the program may use either standard statement. • Agencies entering the program after January 1, 2013, must use the new (bracketed) standard statement unless otherwise approved by the Program Coordinator. • Agencies completing their Final Review after January 1, 2014, must use the new (bracketed) standard statement. New Discussion Comments: Many of the standards have new Discussion comments. These discussion comments are intended to better explain the standard requirements and assist agencies in proving compliance. Agencies should read the discussion section of each standard as they are developing and submitting their proofs of compliance. Page 5 of 106 Training Requirements: In 2011, for those standards requiring training, a comment was added in the discussion section to indicate the minimum level of training required to meet the standard. A description of the training levels is given in Appendix B as well as in the discussion section of the individual standards. These new training requirements are now required for any agency seeking Recognition or Re-Recognition. New Document Submission Forms: The Document Submission Forms were also updated to reflect the new requirements. Page 6 of 106 Acknowledgements The Texas Police Chiefs Association is deeply indebted to the following individuals for their contribution to the development and institution of this program. Their unselfish dedication to the Texas Police Chiefs Association, the Texas Police Chiefs Association Foundation, The Law Enforcement Recognition Program, and the Citizens of the State of Texas cannot be overstated. Mr. James McLaughlin, Esq. Executive Director of the Texas Police Chiefs Association for his vision and leadership in the development of the program. Chief David James, Carrollton Texas Police Department, for his leadership of the Interim Recognition Committee in the development of the program, and his continuing leadership as Chairperson of the first Recognition Committee overseeing the implementation of the program. The members of the Interim Recognition Committee which assisted in the development of the program and approved the Best Practices included: Chief Robert Burby, Texas City Texas Police Department Chief Bobby Griffin, Canyon Texas Police Department Chief Mark Hafner, Keller Texas Police Department Chief David Barber, Hedwig Village Texas Police Department Chief Mike Dupree, Atlanta Texas Police Department Chief Rex Hoskins, Decatur Texas Police Department The members of the first Recognition Committee included: Chief Robert Burby, Texas City Texas Police Department (Vice Chair) Chief Bobby Griffin, Canyon Texas Police Department Chief Mark Hafner, Keller Texas Police Department Chief David Barber, Hedwig Village Texas Police Department Chief Mike Dupree, Atlanta Texas Police Department Chief Rex Hoskins, Decatur Texas Police Department Chief J.D. Martinez, Weslaco Texas Police Department Chief Tim Vasquez, San Angelo Texas Police Department Assistant Chief Monty Stanley, Carrollton Texas Police Department, for his experience and leadership as Chairperson of the Best Practices Task Force which developed the Texas Best Business Practices for Law Enforcement. Members of the Best Practices Task Force included: Doris Certain, University Park Police Department Paula Ibsens, Burleson Police Department Joe Tieber, Round Rock Police Department Lesley Hicks, College Station Police Department Larry Roberson, Austin Public Safety Department Kevin Phillips, Gainesville Police Department Page 7 of 106 PREFACE The Best Business Practices Manual is the compilation of what Texas law enforcement professionals believe are basic business practices needed to address the most critical of law enforcement tasks in our state. The standards were developed to ensure appropriate protection of citizen’s rights, to improve the safety of public safety employees, and ensure the operational and professional integrity of a law enforcement entity. This manual includes the Best Business Practices and Glossary which are updated from time to time when legal or environmental changes necessitate. The Recognition Program Manual provides detailed information regarding the operation of the Recognition Program. Texas Police Chiefs Association Page 8 of 106 TABLE OF CONTENTS Introduction ........................................................................................................................ 9 The Recognition Committee ................................................................................. 9 How Agencies are Reviewed ................................................................................ 9 An Electronic Submission Option ............................................................................... 10 The Best Practices ................................................................................................... 10 Best Practice Composition ........................................................................................... 10 Best Practice Applicability ........................................................................................... 11 Getting Started ........................................................................................................... 11 Chapter 1 ADMINISTRATION AND ORGANIZATION .............................................. 13 Chapter 2 PROFESSIONAL STANDARDS AND CONDUCT ...................................... 20 Chapter 3 TRAINING ......................................................................................................... 29 Chapter 4 PERSONNEL ..................................................................................................... 39 Chapter 5 RECORDS AND INFORMATION MANAGEMENT .................................. 44 Chapter 6 USE OF FORCE ................................................................................................ 47 Chapter 7 LAW ENFORCEMENT OPERATIONS ........................................................ 52 Chapter 8 UNUSUAL SITUATIONS ................................................................................ 67 Chapter 9 COMMUNICATIONS ...................................................................................... 73 Chapter 10 ARRESTEE PROCESSING AND TRANSPORTATION ........................... 77 Chapter 11 COURT SECURITY ........................................................................................ 86 Chapter 12 PROPERTY AND EVIDENCE MANAGEMENT ....................................... 88 APPENDIX A Inventory Sampling Methods……………………………………...83 APPENDIX B Minimum Training Requirements …………………………………86 Program Glossary ................................................................................................................. 98 Page 9 of 106 Introduction The Recognition Committee The Law Enforcement Agency Best Practices Recognition Program Committee manages the overall operation of the Recognition Program and awards “Recognized” status to qualifying agencies. The Committee is under the direct supervision of the Texas Police Chiefs Association Foundation Board of Directors. The Committee establishes and approves Best Business Practices for Texas Law Enforcement, develops and manages a system for accepting applications for “Recognized” status, develops and manages a system for evaluating Candidate Agency’s compliance with the established Best Business Practices, and awards “Recognized” status to agencies that have adequately proven compliance with the established Best Business Practices. The Committee is composed of nine (9) members appointed by the Foundation Board. Committee members are Chiefs of Police who hold Active Membership in the Texas Police Chiefs Association and who agree to serve a full three (3) year term. Committee members serve staggered three year terms with three members being appointed each year. Individual members may serve a maximum of two (2) consecutive terms. A quorum exists when at least five (5) members of the Committee are present at a business meeting. Decisions are made based on a simple majority of those present and voting. Issues and submission for “Recognized” status may be submitted to the Committee members for electronic vote. Committee members who have a personal relationship with a Candidate Agency or the Candidate Agency Chief of Police will abstain from voting on “Recognized” status for that agency. How Agencies are Reviewed Agencies that enter this voluntary program conduct a self-assessment of their policies and procedures and construct a paper or electronic file for each of the Best Practices. These files contain the “proofs’ that the agency complies with the standard. Upon completion of compiling these proofs, the agency announces they are ready for review and a team of assessors, usually two, from another area of the state are sent to review the agency’s files. The assessment team leader prepares a report of this on-site assessment and forwards it to the Recognition Committee for review and awarding of “Recognized” status. Assessors are usually Chiefs of Police, Command Officers and Program Managers from other agencies. These assessors are trained by the Program Staff and must agree to a Code of Ethics prior to accepting the assignment and must abide by that Code of Ethics during their assessment of the agency. Page 10 of 106 An Electronic Submission Option Some agencies may wish to construct all their compliance files and request a Final Review of all their files at their department offices. Final Reviews in this manner will usually take three assessment team members two days to complete. An electronic submission option exists which allows almost two-thirds of the standards to be submitted electronically and accepted prior to the on-site Final Review. This process benefits the agencies in two ways. First, it allows the agency immediate feedback on the standard and any changes or additional proof needed can be submitted at their leisure. Second, it reduces the Final Review on-site, and the resulting expense, to only two assessors instead of the expected three. The agency will identify which method it wishes to utilize when making the initial application. A Mail or Shipping Option Agencies may also utilize a Mail or Shipping Option which offers the same benefits as the Electronic Submission program, only utilizing the mail or a shipping service instead of electronic submission. The Best Practices The original standards were developed by a Task Force of Texas Law Enforcement professionals who had extensive experience in the law enforcement accreditation process. Input was sought from numerous other state’s accreditation programs as well as a detailed review of Texas statues and rules of the Texas Commission on Law Enforcement. The best practices represent the basic practices needed to address critical issues within the law enforcement profession in Texas. These standards have been and will continue to be updated and modified as the legal and social environment changes and law enforcement operations continue to evolve. Any member of the Texas Police Chiefs Association may submit items and issues for consideration regarding the modification or development of new standards. The standards are organized into twelve chapters that correspond to major areas of law enforcement operations. Best Practice Composition Each standard is composed of the standard number and title, whether the standard is approved for electronic submission, the standard statement, a discussion, and items needed for proving compliance. The standard number and title identifies the Best Practice. The (E), (V), or (EV) designation after the title indicates whether the standard is approved for electronic submission (or mail) if the agency opts for this review process. (E) indicates the standard is approved for electronic submission. (V) indicates the standard will be reviewed on-site only. And (EV) indicates the standard is approved for electronic submission but will be reviewed on-site as well. (EV) standards typically have some aspects which may require visual observation or review of more extensive files. Page 11 of 106 The standard statement is the definitive requirement or requirements which must be met by the agency. The agency must show compliance with each part of a standard if the standard contains multiple parts. Some standards require a written directive. Others may only require an action, activity, inspection, or report. Some may require both a written directive and activity or action. Most standard statements indicate what the agency must address or perform, but usually allow great latitude in determining how to do it. The Discussion, if present, is an explanation of the standard and in some cases may contain a discussion of possible methods and requirements for compliance with the standard. The discussion may provide the agency and assessors with minimum levels of performance for acceptance. Agencies are expected to comply with the minimum levels of performance or the equivalent. Proof of Compliance is a listing of the items or methods that are needed to show proof of compliance with a standard. If the standard statement requires a written directive, a written directive must be submitted. If a written directive is not required by the standard statement, the method of proof is the choice of the agency. Sufficient evidence must be provided to prove compliance with the standard. If an agency does not have the proof of compliance items listed, the agency should contact their assigned Program Coordinator to determine alternative methods of showing compliance. Evaluators Review is a section on the bottom of the Standard’s Document Submission Form. The Evaluators Review also provides an understanding of what needs to be submitted in order for the proofs to be accepted. Best Practice Applicability With the exceptions listed below, all standards are required for all agencies. Some standards are conditional standards. Conditional standards usually contain the word “if.” If an agency does not have that particular operation or provide that service, the standard does not apply. A file would still be maintained and the Document Submission Form in the file would indicate that the agency does not have or perform that function and the standard is N/A. If an agency utilizes another entity to perform any of its functions such as Communications, Holding Facility, or Property and Evidence, the performing agency must meet the standards for that function. An exception is made for agencies that do not have holding facilities and utilize County Jails or other facilities that are controlled by the Texas Commission on Jail Standards. Detailed information on this exception is covered in the introduction to Chapter 10, Detainee Processing and Transportation. Getting Started Regardless of whether an agency wishes to become officially “Recognized” or not, these standards can be used in every community to improve basic law enforcement operations and reduce liability. We encourage all law enforcement agencies within the state to become familiar with these standards and work toward ensuring compliance with these standards within your agency. Page 12 of 106 If you wish to become a “Recognized” agency, the first step is to obtain the Program Manual and become familiar with the program operation and these standards. Training of both the Police Chief and Program Manager within the agency is required prior to being formally accepted into the program. Police Chief Familiarization training is an overview of the program. Program Manager training is a detailed explanation of how the program works and the proofs of compliance required. Program Managers are required to attend both the Chief Familiarization training and the Program Manager Training. If you have not yet been to training, you do not have to wait to get started. Reading the Program Manual and this Standards Manual can provide you with the information to begin your own self-assessment. Paper files can be created and appropriate documentation and proofs of compliance gathered. There is also a Paperless file process which can be utilized. When training has been completed and your agency accepted into the program, the completion of the program will take much less time. The Recognition Program Website (http://rp.tpcaf.org) has a host of resources for your use. You do not have to be registered or accepted into the program to have access to all the forms, manuals, or sample policies. All downloads are provided at no charge. Page 13 of 106 CHAPTER 1 ADMINISTRATION AND ORGANIZATION The administration and organization of a law enforcement agency is crucial to the achievement of its mission. Clear lines of authority and responsibility are necessary to fix responsibility and assure performance. Critical issues of organization, budgeting, and financial management, policies and procedures, authority and jurisdiction, and asset management are covered in this chapter. Effective administration and organization will assist the agency in providing efficient and effective services to the citizens of the community. 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. Discussion: The Organizational Chart should have a date on it, such as “XXX Police Department 2011,” or a “Date Reviewed” at the bottom to show proof of annual review. The agency should have the Organizational chart posted somewhere in the department for employee reference. Proof of Compliance --Copy of current organizational chart --Some method of showing annual review of the organizational chart (Review or issue date on chart or policy stating annual review) --Organizational charts are made available to all personnel Signed for by officer as part of department policy manual, or Statement on DSF of how made available to personnel, or Photo of posting on bulletin board, or Observation of chart posted on bulletin board (On-site) 1.02 Budget (E) The Agency develops, submits, and manages a budget, and a written directive designates a position responsible for the budget. Discussion: None Proof of Compliance --Copy of directive or memo designating who is responsible for the budget preparation and management, and --Copy of written directive outlining budget process, or --Copy of instructions for budget preparation, or --Copy of submitted budget request, and --Copy of monthly budget summary or status report Page 14 of 106 1.03 Cash Transactions (EV) The Agency has a written directive instructing personnel on how to handle and document all cash transactions. The directive will document functions in the agency authorized to perform any cash transactions. This does not include confidential or narcotics related transactions. Discussion: Agencies often manage cash in any number of areas including petty cash transactions, receiving cash for bonds and fines, receiving cash for copies of reports, receiving cash for assorted permits such as dog licenses or alarm permits, and even fingerprinting services. Each of these areas needs must be addressed in policy and should clearly identify: Who is the custodian of the account (who is responsible to its security) Who is authorized access to the money (can be by name or by position such as the on-duty dispatcher) Where and how the cash is maintained (maybe a lockbox locked in the admin. File cabinet, etc.) How transactions are documented (requests, receipts, log, or balance sheet, etc.) What to do with the money when it is received. How money is turned in, how much is kept available, how additional funds are requested, etc. How often and by whom audited. The policy for each of these areas should be clear enough to allow someone who knows nothing about the process, to be able to read the policy and conduct cash operations without questions. It should also be clear enough for a supervisor or auditor to know if something is wrong. Proof of Compliance --Copy of written directive(s) Ensure person or position responsible for each cash fund is identified, and --Copy of documentation for transactions, submission, or reconciliation, and --Copy of cash account log, receipts, balance sheet, or ledger, or --Observation of cash account security, log, and transaction detail (On-site) 1.04 Written System of Agency Directives (EV) The agency has a written directive system in place that includes all agency policies, procedures, and practices. The written directive system must: a. Be numbered and organized in a manner that allows numerical reference. b. Require a periodic review and updating of directives to include that all directives are in accordance with applicable Texas Law. c. Require directives and updates be made available to, and reviewed by, all affected agency personnel in a manner designated by the Agency Director. d. Require maintenance of documentation proving receipt of directives by agency personnel in a manner designated by the Agency Director. Discussion: It is the responsibility of the agency to ensure their written directives are in compliance with applicable Texas Law. In some cities, all policies must be reviewed by the Page 15 of 106 city’s attorney. In many cities, this task is left to the Chief of Police. A written statement from the Office of the Agency Director, that departmental written directives comply with all applicable Texas Law, is required as part of this standard’s proof of compliance. This can be a stand-alone letter or memo, or may be included in the written directive that the Chief, or a designee, is responsible for ensuring that all policies and procedures are in compliance with Texas Law. The written directive should also clearly state how often (such as annually or every two years, etc.) the department directives will be reviewed instead of using the term “periodic.” Proof of Compliance --- Copy of a sample policy, procedure, general order, etc., and --- Statement on DSF about how directives are made available to employees and evidence of that process, and --- Signature sheet or other proof that personnel receive copies or state they have reviewed, and --Some documentation of periodic review of directives, and --Some indication that polices are in compliance with State Law. --Observation of availability of written directives to all personnel (On-site) 1.05 Agency Jurisdiction (E) The Agency has written documentation from a unit of government that authorizes the existence of the Agency and defines its jurisdictional boundaries. Discussion: This is typically an Article within the City Charter or an ordinance passed by the City Council which establishes the agency. TCLEOSE does not establish an agency. There must be some formal action on the part of a government body creating the agency. This must be either a clear section of the City Charter or a City ordinance. The “General Powers” clause of a Charter or the Local Government Code may authorize a City to establish a Police Department but the City has to affirmatively do so by either Charter or City Ordinance. Proof of Compliance --Copy of documents for Agency existence and jurisdiction, Possibly copy of portion of City Charter or Ordinance, and --Copy of boundary ordinances or portions of Metes and Bounds book, or --Copy of map provided to employees with jurisdictional boundaries delineated. 1.06 Peace Officer Authority (E) The Agency has a written directive stating the authority of the police officers to act as Peace Officers. Discussion: This is generally found in the City Ordinance or City Charter. A Police Department Policy can also grant this authority if the City has authorized a Police Department (TBP 1.05), and should refer to the authority granted under the Charter or Ordinance or the Code of Criminal Procedure. Page 16 of 106 Proof of Compliance --Copy of agency directive outlining authority, or --Copy of city ordinance or charter regarding authority of police officers, or --Copy of Texas Code of Criminal Procedure 2.12., and 2.13. 1.07 Authority of the Agency Director (E) The Agency has written documentation from a unit of government designating the authority of the Agency Director. Discussion: This is often found in either the City Charter or City Ordinance authorizing the department. Proof of Compliance --Copy of City Charter or Ordinance giving Agency Director authority over Department, or --Copy of Chief’s letter of appointment, or --Copy of Chief’s job description if approved by Council. 1.08 Duty to Obey Lawful Orders (E) The Agency has a written directive requiring employees to obey lawful orders from a higher- ranking member and explaining how to respond to conflicting or unlawful orders. Discussion: None Proof of Compliance --Copy of written directive, and --Copy of any Internal Investigations related to failure to obey orders, or --Copy of any supervisor counseling where officer failed to obey supervisor, or --Copy of sign-in sheet where officers trained on subject or received copy of policy. 1.09 Sworn Personnel License (E) The Agency has a written directive which requires that personnel hold a Texas Peace Officer license before performing law enforcement duties. Discussion: The department should have a written directive that clearly prohibits employees from performing law enforcement duties prior to attaining a peace officer license. This standard does not require the employee to hold a Basic Certificate, only a license. Proof of Compliance --Copy of written directive, and --Copy of officer’s licenses (at least 2) or L-1 applications. Page 17 of 106 1.10 Accounting for Agency Owned Capital Assets (EV) The Agency has a written directive for insuring accountability at least annually of all Agency owned capital property, equipment and other assets. Capital assets will be those assets with a value above a limit set by Agency policy. (Example, all items over $5000 in value are capital items, or other value determined by the Agency or governing body). The inventory results will be forwarded to the Agency Director. Discussion: While not required, agencies should consider including all departmental weapons and critical equipment regardless of value because of their critical nature. Agencies that do not have an accounting system for these items may wish to look at Microsoft Access Database Program which has a “Template” for Assets which can be used to track assets. Additional fields can be added to that Template to create a checklist by location for the required annual inventory. The Agency Director should date and initial the annual inventory to show proof that it was received. The proof submitted should not be simply a list of asset items but must show that an inventory has been done. This can be date, initials and checkmarks on the asset list or in a memo to the Chief with a copy of the checked off items attached. Proof of Compliance --Copy of written directive, and --Copy of recent agency asset inventory. 1.11 Approval for Personally Owned Equipment (E) The Agency has a written directive that requires all personnel to obtain written approval from the Agency Director or designee prior to carrying or using any personally owned equipment during the performance of their duties. Discussion: The intent of this standard is to ensure the Agency Director is aware of and has control over what weapons, equipment and uniform items are carried and worn by the members of the agency. It includes personally owned uniform items, leather gear, equipment such as handcuffs and ASP batons, handguns, rifles, and any non-lethal weapons including Tasers, OC sprays, etc. Any items not issued or specifically approved in the department policy manual. Agencies must have a policy which requires all employees to request permission and obtain approval from the agency director or a designee before carrying or using any personally owned equipment during the performance of their duties. This policy can be a simple as requesting approval in a memorandum and having the memorandum filed in the employee’s personnel file. Agencies can authorize employees to carry or use specific personally owned items in their directives and specifically prohibit any other items (weapons, equipment or uniform items) other than those approved in their written directive. If the directive clearly states that no Page 18 of 106 items other than the items listed in the policy will be authorized, then the agency is not required to have a written approval process from the Agency Director. If other items are allowed, than an approval process is required. Proof of Compliance --Copy of written directive, and --Copy of any request or approval of personally owned equipment by the Agency Director, or -- Proof of receipt by officers, or --Copy of any supervisory counseling or investigation for violating provision. 1.12 Agency Issued Property/Equipment (E) The Agency has a written directive which requires all personnel to sign for any Agency owned property/equipment issued to the employee, and includes a process for recovering the property/equipment when the employee leaves the Agency. Discussion: Sample property issue and return forms are available on the website. Proof of Compliance --Copy of written directive, and --Copy of property sheets for personnel signing for issued property/equipment, and --Copy of property sheets for personnel returning issued property/equipment. 1.13 Continuing Compliance with Best Practices (V) The agency has a written directive that designates a responsible person within the agency for monitoring continued compliance with Recognition Program Best Practices. The agency has a system in place that ensures continued compliance. Effective January 1, 2013 Required after January 1, 2014 Discussion: Agencies are required to continue compliance with Recognition Program Best Practices throughout their four year Recognized period. A number of standards require performance of various inspections, audits, and reports as well as continuing operational processes (such as hourly prisoner checks.) Left uninspected, many of these requirements may not be done regularly. The agency must clearly identify in a written directive a person responsible for ensuring the standards are maintained. The agency must also develop a system – designed by the agency – to ensure these requirements are continuously met. This system may simply be the use of a “required performance” checklist which is personally monitored by the assigned person, an automated or computerized reminder system requiring periodic checks (such as Microsoft Office Outlook Calendar or Task system) or formalized reporting system with individual units of an agency required to submit formal reports. Page 19 of 106 Proof of Compliance: Copy of written directive showing assignment of a person or position responsible. On-site observation or evidence of a system developed to ensure compliance. Page 20 of 106 CHAPTER 2 PROFESSIONAL STANDARDS AND CONDUCT All professional law enforcement agencies must have clearly delineated rules and regulations to guide officer conduct and ensure the proper public image of the agency. These Code of Ethics and rules of conduct ensure the public that their law enforcement agency is properly supervised and held to a high standard of conduct. It ensures the public that complaints against officers will be fairly investigated and acted upon if wrongdoing is found. 2.01 Bias Based Profiling (EV) The agency has a written directive, complying with current laws on the reporting of the Bias Based Profiling information collected by the agency, and training of enforcement personnel in the prohibition of Bias Based Profiling. Discussion: Bias based profiling and especially racial profiling is highly injurious to a law enforcement agency as it erodes public confidence in equality of treatment. Agencies should ensure their definition of racial profiling (part of bias based profiling) meets the definition of the Texas Code of Criminal Procedure Article 3.05 as well as the operational procedures required under Articles 2.131 through 2.138. Prohibition of Bias Based Profiling however is broader than the state required racial profiling prohibition. The agency’s written directive should meet or exceed state law requirements for prohibition of racial profiling, but must also prohibit any profiling based on ethnic background, gender, sexual orientation, religion, economic status, age, cultural group, or any other identifiable group. Agencies need to ensure their policy includes all of this expanded definition. Agencies are required to publish an annual report of their traffic and pedestrian stops under Article 2.134. This annual report is also required as part of this standard but will not be submitted electronically. Agencies should indicate on their Document Submission Form that the Annual Reports are in file. If all other parts of the Best Practice requirements are met, the standard will be "Accepted" and the actual annual reports will be reviewed on-site by the Final Review team. Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of written directive, and --Proof of training such as sign off sheet, training bulletin or lesson plan, and --Statement on DSF that most recent annual report is in file. Page 21 of 106 2.02 Code of Ethics (E) The Agency has a Law Enforcement Code of Ethics as part of its Agency policy and personnel have been provided a copy of the Code of Ethics. Discussion: Any commonly accepted Code or Canon of Ethics may be accepted as long as it is part of the agency’s policy manual. The agency may also develop its own Code of Ethics if they desire. Proof of Compliance --Copy of written directive or Code of Ethics, and --Proof of training or receipt by officers. 2.03 Oath of Office (E) The Agency has a written directive that requires every employee who is a peace officer, under Texas law, to take and sign an oath of office before conducting law enforcement duties for the Agency. Discussion: This requires a department written directive which requires that officers take the Oath of Office prior to performing any law enforcement duties. Article 16 Section 1 of the Texas Constitution prescribes the specific wording of both the officer’s statement and Oath of Office. Agencies may add to the Oath of Office but the basic requirements which are stated in the Texas Constitution must be met. The requirement for signing the “Statement of Appointed Officer” is part of this standard and is required for its completion. On-line access to Texas Statutes is available at http://tlo2.tlc.state.tx.us/statutes/statutes.html. A printable copy of both the Statement of Appointed Officer and the Oath of Office is available on the Secretary of State website at http://www.sos.state.tx.us/statdoc/statforms.shtml#AUF (Forms 2201 and 2204) This standard requires both the Statement of Appointed Officer and Oath of Office, but these may be placed on a single page for swearing in purposes. Proof of Compliance --Copy of written directive, and --Copies of at least 2 signed Oaths of Office (and Statement of Appointed Officer). 2.04 Internal Investigations (E) The Agency has a written directive on how to receive, investigate, and conclude complaints against employees. Sustained complaints must be based on facts determined during the investigation. Discussion: The department policy on Internal Investigations should be reviewed to insure it meets all of standards 2.04 through 2.10. Page 22 of 106 The policy should clearly address when and how complaints are received, investigated and concluded. The Written directive should also in some manner indicate that allegations are sustained based only on the facts determined during an investigation or a preponderance of the factual evidence. Proof of Compliance --Copy of written directive, and --Proof of receipt of policy by officers, or --Copy of an IA Investigation showing conclusion was based on finding of fact. 2.05 Time Limit on Internal Investigations (E) 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. Discussion: Agencies should ensure that their time limits include the taking of disciplinary action if necessary. Time limits must be in a specific number of days and may allow for extensions if requested and approved by the Chief of Police. Agencies can give a time limit in their policy for the “investigation and taking of disciplinary action” or provide a time limit for the investigation and a separate time limit for the taking of disciplinary action if necessary. Proof of Compliance --Copy of written directive, and --Proof of receipt of policy by officers, or --Review Internal Investigations or logs for compliance with time limits 2.06 Complaints Requiring an Investigation (E) The Agency has a written directive requiring that complaints, alleging a violation of policy or law, be investigated, and identifies those that will require formal internal investigations, and those that will require investigation by line supervisors. Discussion: In smaller agencies, the department may not differentiate formal or informal complaints. It is sufficient if all complaints are sent to the Chief who decides by whom and how they are investigated. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Copy of IA log or documents showing investigations, or --Copy of formal internal investigation and supervisor investigation file. Page 23 of 106 2.07 Notification of the Agency Director (E) The Agency has a written directive for notifying the Agency Director, as soon as practical, of formal complaints against agency employees and agency volunteers (if any). Discussion: The intent of this standard is to notify the agency director of external complaints as soon as possible. The agency may determine when and how this notification is made, but should be done early in the complaint receipt and investigation process. Proof of Compliance --Copy of written directive, and --Copy of log, memo, or email showing Chief notified of complaint per directive 2.08 Appeal Procedures for Disciplinary Actions (E) If the agency allows appeals of disciplinary action, the Agency has a written directive describing the appeal process, including which actions may be appealed and what level/position will constitute the appeal authority. Discussion: If the agency uses or relies on an appeal process issued by a higher authority, such as City personnel rules, city or state civil service rules, the agency should submit those documents and they must meet the requirements of the standard. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Copy of an appeal case or memo to officer of appeal process. 2.09 Records and Security of Complaints and Investigations (V) The Agency has a written directive that requires that complaint and investigation records be kept secure, consistent with the current Public Information Act requirements. Discussion: The requirement that records be kept secure includes being secure from unauthorized access by agency employees. This requires the records to be kept in locked cabinets or rooms with only limited access by designated individuals. The written directive must clearly state that the records will be maintained in a secure manner. The Public Information Act is Texas Government Code Chapter 552 which regulates Public Information retention and public access. Section 552.004 requires the agency to maintain any record created by the agency in accordance with records retention schedules adopted by the governmental unit. Page 24 of 106 Proof of Compliance --Copy of written directive, and --Photograph of file security for file, or --Physical inspection of security of files. (ON-Site, DSF notation of location) 2.10 Notification to Complainant (E) The Agency has a written directive to notify the person who files a complaint, against the agency or employee, of the results of the investigation. Discussion: None Proof of Compliance --Copy of written directive, and --Copies of letters (2) where complainants have been notified of results of investigations 2.11 Sexual and Other Unlawful Harassment (E) The Agency has a written directive that prohibits sexual or other unlawful harassment. The written directive must provide for reporting procedures that include when it is appropriate to make a report outside the chain of command or outside the Agency. The agency must provide training to all personnel. Discussion: Minimum Training Level 3. The training portion of this standard must be met by showing proof of some form of formal training, or specific topic training at a school, seminar, or class; clearly showing the topic of training, such as a class schedule, syllabus, lesson plan, power point, completion certificate, or other documentation. Computer based learning programs may also be used. Proof will be sign-in sheets, completion certificates, or TCLEDDS entry. Training must be provided to all department personnel, not just sworn. The requirement for training does not have to be in the written directive, but proof of training must be shown. Proof of Compliance --Copy of written directive, and --Proof of receipt of copy of policy by sworn and non-sworn employees, and --Proof of Level 3 training: Copy of training lesson plan and/or dated schedule, and/or Copy of sign-in sheet. 2.12 Professional Conduct (E) The Agency has a Professional Conduct written directive that identifies acceptable and unacceptable conduct and includes mandatory training of all personnel. Discussion: This is typically the department’s Code of Conduct or Rules of Conduct and may have numerous rules and regulations regarding what employees are required to do and what actions are prohibited. Page 25 of 106 Minimum Training Level 1. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that employees have received and signed for a copy of the policy. Proof of training is required for both sworn and non-sworn. Proof of Compliance --Copy of written directive, and -- Proof of receipt of copy of policy by employees (sworn and non-sworn). 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. Discussion: This directive should describe the agency uniform standards and other appearance standards such as cleanliness, grooming, jewelry, tattoos, and other appearance guidelines. Standards for non-uniform positions should be included such as for Criminal Investigations. Standards for non-sworn work staff, dispatchers, must also be included. (These may be covered in a city manual but if additional uniform requirements exist (such as for dispatchers or jailers), they must be clearly covered. If special assignments are used, such as undercover narcotics, specific exceptions to appearance rules should be made in policy or specific approval from the Agency Director, or designee required. Proof of Compliance --Copy of written directive, and --Proof of receipt of copy of policy by employees, and --Observation (On-Site) that employees present a professional image. 2.14 Truthful (E) The Agency has a written directive requiring all employees to be truthful in all official verbal and written communications and reports. Employees will be truthful in any court related testimony or agency investigations. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) Page 26 of 106 2.15 Political Activity (E) The Agency has a written directive that prohibits an employee’s personal involvement in political issues or campaigns while on duty or in uniform. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) 2.16 Attendance (E) The Agency has a written directive regarding attendance requirements for employees under normal duty assignments, training assignments, and other times identified by the Agency. Discussion: This standard requires the agency’s written directive to specifically address attendance requirements for normal duty assignments and training assignments. The agency may also add other requirements such as attendance at court or other times. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) 2.17 Individual Rights (E) The Agency has a written directive that employees are to respect the rights of individuals and specifically states that employees will not engage in discrimination, oppression, or favoritism. Discussion: The agency directive must, in some manner, require officers to protect the rights of individuals (not just citizens or residents) and must specifically prohibit discrimination, oppression and favoritism. This is often accomplished by simply having a rule to this effect in the department Rules Manual or Code of Conduct. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) Page 27 of 106 2.18 Personal Conduct (E) The Agency has a written directive that no employee shall establish an inappropriate social relationship with a known victim, witness, suspect, or defendant of an Agency case while such case is being investigated or prosecuted as a result of such investigation. Discussion: The term inappropriate is intended to mean ANY social relationship with a known victim, witness, suspect, or defendant during the time a case is being investigated or prosecuted which would jeopardize the prosecution or embarrass the department. This prohibition is broader than the prohibitions normally found in police agencies against associating with criminals or subversive groups. It is intended to prohibit the development of any personal relationship with a victim, witness, suspect or defendant while the case is being investigated or prosecuted. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) 2.19 Alcoholic Beverages (E) The Agency has a written directive regarding the use of alcoholic beverages when reporting for duty and while on duty. Discussion: The directive must address both when reporting and while on duty. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) 2.20 Drugs (E) The Agency has a written directive regarding the illegal use of any drug including prescription drugs, and the taking of legal prescriptions when it would negatively impact the judgment or physical condition of an employee while on duty. Discussion: These directives should prohibit any illegal drug use and the use of any prescription drug taken illegally (without specific prescription for that employee). It should also address the taking of any prescription drug when it would negatively impact the judgment or physical condition of the employee when on duty. This is usually handled by requiring employees to notify a supervisor whenever they are taking any medication which they believe will impair their performance. Page 28 of 106 Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) 2.21 Gifts/Gratuities (E) The Agency has a written directive regarding gifts and gratuities that may be offered to, or solicited by, employees. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) 2.22 Emergency Recall Procedures (E) The Agency has a written directive regarding the availability of personnel during emergency situations. Discussion: Agencies should specifically spell out employee’s duty to report during emergencies as directed by supervisors or the Chief of Police. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) 2.23 TCLEOSE Personnel Files (V) The agency maintains a Personnel File on each sworn officer which contains all originals or copies of all documents required by TCLEOSE to be maintained by the department. Discussion: TCLEOSE requires certain documents to be maintained by each department on all sworn officers. These requirements as well as a self-audit sheet for officer’s files can be found on the TCLEOSE website in the “Law Enforcement Administrator’s Desk Reference in the “Chief’s Corner” section of their website. Proof of Compliance --Copy of Written Directive describing the files, if any, and --Observation of sworn officers files for compliance (On-Site) Page 29 of 106 CHAPTER 3 TRAINING Police agencies are held accountable both by their community and by the courts for their actions. Employee’s actions are guided by clearly written policy, by adequate supervision, and by training. The Texas Commission on Law Enforcement (TCLEOSE) prescribes the minimum level of training for both entry into law enforcement operations and for continuing education after employed. These standards ensure these training mandates are completed and appropriate records are kept to prove the appropriate training was conducted. 3.01 Annual Firearms Qualifications (V) The Agency has a written directive requiring that all sworn personnel who carry firearms qualify at least annually with all firearms they are authorized to carry, according to TCLEOSE standards, and specifies provisions for remedial training for those who fail to qualify. Discussion: These specific requirements are found in section 1701.355 of the Texas Occupations Code and in TCLEOSE firearms proficiency requirements (217.21). The written directive must require at least annual qualification with ALL firearms carried or used by an officer including handguns, rifles and any off-duty and or back-up weapons. Minimum Training Level 4. The physical qualification portion of this standard requires agencies to prove the qualification was completed as required and remedial training if required. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Copy of records of qualifications for all firearms carried by personnel, or --Observation of Qualification Records (On-Site) 3.02 Use of Deadly Force Training (E) The agency has a written directive on training its sworn personnel at least annually in the proper use of deadly force and the use of any firearm used in the course of law enforcement duties. Discussion: This deadly force training may consist of a review of the deadly force policy of the department and other scenario based training programs. Many agencies conduct this training as part of their annual firearms qualification but it can be done at any time during the year. Page 30 of 106 Minimum Training Level 2 & 4. Proof of receipt of copy of policy and discussion with supervisor, or higher level of training in the deadly force policy and proof of training in use of firearms (can be actual qualification or other training.) While additional firearms training each year is recommended, the actual training in the use of the firearm may be accomplished during the actual firing and qualification with the weapon. Proof of Compliance --Copy of written directive, and --Proof of training of officers in deadly force policy during past year, and --Proof of training in firearm use during past year. 3.03 Annual Inspection of Firearms (E) The Agency has a written directive that requires the annual inspections of all authorized firearms by a designated firearms proficiency officer for proper functioning. This inspection may take place during firearms qualifications. Discussion: This requirement is in accordance with TCLEOSE rules on firearms proficiency, Rule 217.21. Most agencies have the inspection conducted at the annual qualification after firing. Proof must clear show each firearm (by serial number or other identifier) was inspected. Proof of Compliance --Copy of written directive, and --Proof of inspection documentation. 3.04 Use of Force Training and Proficiency for Less than Lethal Weapons (E) The Agency has a written directive that requires all personnel authorized to use less than lethal weapons, including EMDs, are trained at least biennially and demonstrate proficiency for those weapons. The required training should be conducted by instructors having appropriate certification for the weapon or by instructors utilizing instructional materials for that weapon. Discussion: The agency should indicate on the Document Submission Form what less- lethal weapons are carried or used by the department and what instructor certification or materials is used for training on that weapon. Minimum Training Level 3 & 4. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received specific instruction in the operation of the weapon used and have demonstrated proficiency with the weapons carried. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and Page 31 of 106 --Proof of training in authorized Less than Lethal Weapons, and proficiency, within last two years, and --Proof of instructor certification or training materials, if required. 3.05 Training Records (V) The Agency has a written directive which describes their employee training records system and is in accordance with TCLEOSE. rules for appropriate personnel. Reporting of training through the Texas Commission on Law Enforcement Data Distribution System (TCLEDDS) may be used to document sworn training. Discussion: This standard requires training records be maintained to TCLEOSE standards. For clarification, each officer's individual record must be kept. Using TCLEDDS is acceptable, but agencies who do not use TCLEDDS must keep up to date training records for each officer. (TCLEOSE rule 217.13) In addition, it the agency provides any training in- house, the agency must maintain copies of lesson plans as well as attendance records of classes. While TCLEDDS may be used for sworn personnel, training records for non-sworn must also be addressed in the directive and maintained. Proof of Compliance --Copy of written directive, and -- Observation of Training files On-Site, or --Copy of individual officer (1) training records, (TCLEDDS ok), and --Copy of non-sworn training record. 3.06 In-Service Sworn Officer Training (V) The Agency ensures appropriate in service training or refresher training for all SWORN personnel employed by the agency, in accordance with training mandated by Texas Law or TCLEOSE. standards, and any other training designated by the Agency. This must include some physical arrest and self defense tactics for sworn personnel. 3.06 In-Service Sworn Officer Training (V) 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 TCLEOSE standards, and any other training designated by the Agency. In each two year period the training must include: A. Those classes required by TCLEOSE for each officer’s proficiency level. B. Some physical arrest and/or self defense tactics. C. Basic or refresher training in Self-Aid / Buddy Aid. Effective January 1, 2013 Required after January 1, 2014 Page 32 of 106 Discussion: Minimum Training Level 3 & 4. This refers to the mandated Continuing Education under TCLEOSE Rule 217.11 as well as any training mandated by the agency. The standard also requires some level of physical arrest or defensive tactics training every two years as part of the department required training. The type and extent of the physical training is determined by the department based on its needs but may include handcuffing, take-downs, come-alongs, and other controlling techniques as well as defensive tactics using defensive sprays, batons, and weapons retention training. Proof that personnel completed the required 40 hours training during the previous training cycle including some physical arrest or defensive tactics training is required. The Agency Director may tailor less intensive hands on defensive tactics [such as excluding baton or OC spray] programs for certain administrative positions and permanent light duty positions. Any deviation from the standard hands on defensive tactics training must be clearly stated in the written directive. Anyone who carries any less-lethal weapon such as a baton or OC Spray, must receive training and show proficiency every two years as required in 3.04. The Agency must provide all sworn officers with either Basic or Refresher Self Aid / Buddy Aid training at least every two years. While the provision of basic SABA equipment for all personnel is encouraged, provision of this equipment is only required for members of ERTs. (8.06). (This section effective January 1, 2013). Proof of Compliance --Copy of training records for sworn personnel (2), (TCLEDDS ok), and --Proof of physical training (Lesson plan, sign-in sheet, photos) within past two years, or --Observation of training records On-Site. 3.07 In- Service Reserve Police Officer Training (EV) If the Agency has a Reserve Police Officer program, a written directive requires that Reserve Officers receive the same in-service training as regular sworn full time personnel in the functions that the Reserve Officers are designated by the Agency to perform. Discussion: Minimum Training Level 3 & 4 (if required). This refers to the mandated Continuing Education under TCLEOSE Rule 217.11. Reserve officers must complete the same minimum 40 hours as do regular officers but are only required to complete other department training if they perform the functions being trained. Reserves are required to have the same physical arrest or self defense training as regular officers if they perform field duties. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of training records for training for Reserve officers (2) (TCLEDDS ok) Page 33 of 106 3.08 Non-Sworn Training (E) The Agency has a written directive which identifies the non-sworn positions, including volunteer positions that have any required state or agency pre-service and/or in-service training or certifications and provides the necessary training. Discussion: The written directive should clearly identify the non-sworn positions that require training and what training is required for those positions. Minimum Training Level 3. The training portion of this standard must be met by showing proof of some form of formal training, or specific topic training at a school, seminar, or class; clearly showing the topic of training, such as a class schedule, syllabus, lesson plan, power point, completion certificate, or other documentation. Computer based learning programs may also be used. Proof of Compliance --Copy of written directive identifying non-sworn or volunteer positions which require pre-hire or in-service training or certifications, and --Copy of training records or certificates for training of these members. 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. Discussion: This training applies to all ranks below chief in the department. Newly promoted supervisors or commanders, (not just the initial supervisory rank) including non- sworn supervisors should be provided training "appropriate to their position/rank" and the training should take place within 12 months prior to or after promotion. The standard does not dictate the specifics of the training. Obviously, the TCLEOSE First Line Supervisor Course would be appropriate for all new Sergeants and possibly even first line non-sworn supervisors. For Lieutenants, possibly some form of Management and Leadership training, and more in depth or customized training for Captains and Deputy or Assistant Chiefs. The agency is free to determine what courses are “appropriate”, but this training must be provided 12 months prior to or after promotion. Proof of Compliance --Copy of supervisory training records (1) for all ranks below Chief showing proof of training within 12 months prior to or after promotion. Page 34 of 106 3.10 Emergency Response Team Training (E) If the Agency has an emergency response team, a written directive establishes the criteria for training, and specifies the frequency of training for emergency response team members. Discussion: Minimum Training Level 3. The minimum level of basic training is completion of the State approved Basic SWAT school or the equivalent before active participation in an ERT operation. The level of continuing training is left to the determination of the agency, however that training must be required by policy and proof of completing that level of training must be shown. Whatever level of continuing training that is determined by the agency, it must be mandatory and not subject to such things as “if possible, or if time permits, or when staffing allows.” Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of training records showing compliance with directive. 3.11 Hostage Negotiator Training (E) If the Agency has hostage negotiators, a written directive establishes the criteria for training, and specifies the frequency of training for hostage negotiators. Discussion: Minimum Training Level 3. The minimum level of basic training is completion of the State approved Basic Hostage Negotiation school or the equivalent before active participation in an operation. The level of continuing training is left to the determination of the agency, however that training must be required by policy and proof of completing that level of training must be shown. Whatever level of continuing training that is determined by the agency, it must be mandatory and not subject to such things as “if possible, or if time permits, or when staffing allows.” Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of training records showing compliance with directive. Page 35 of 106 3.12 Field Training Program (E) The Agency has a written Field Training program for sworn personnel. The program must: a. Require training be conducted by a designated field training officer(s). b. Be divided into phases of training based on departmental needs. c. Require newly certified or inexperienced officers to complete all phases of the training program prior to operating as a “solo officer”. d. Allow recently hired experienced officers to have the phases reduced but should include at a minimum, operational procedures and directives specific to that Agency. e. Be a minimum of four weeks long. Discussion: None Proof of Compliance --Copy of written directive (May be separate FTO Program Manual), and --Copy of recruit training records showing multiple phases and length. 3.13 Field Training Officer Training (E) The Agency has a written directive which requires that all Field Training officers attend a Field Training course, either the TCLEOSE course or an equivalent course prior to assuming FTO responsibilities. Discussion: Minimum Training Level 3. The basic requirement for this training is equivalent to the required TCLEOSE course. The current TCLEOSE course outline requires a minimum of 24 hours. Proof of Compliance --Copy of written directive, and --Copy of Field Training Officer course completion certificates or TCLEDDS training records. 3.14 Field Training Officer Process Review (E) The Agency has a written directive which requires that all Field Training officers conduct a process review of Field Training subjects on a schedule and format determined by the Agency. The review will be documented and will include at least any changes in directives and procedures. Discussion: This “Process Review” is a meeting of all FTOS for a discussion or refresher program, or updating of Field Training Officers in changes in departmental policy, changes or modifications to the FTO program operation, and an opportunity to discuss training problems and offer input into program improvement. It should be scheduled as often as the agency believes necessary (usually annually in small agencies and every 6 months in larger agencies) for proper program operation but might also allow for “called” meetings when Page 36 of 106 specific issues arise. These meeting should be documented in writing and attendance recorded. Proof of Compliance --Copy of written directive, and --Copy of any written documentation for the Agency process reviews, or --Copy of summary of process review on written department schedule 3.15 Training Evaluations (EV) The Agency has a written directive that requires new officers, while in the Field Training Program, receive at least weekly evaluations by the F.T.O. The evaluation will be reviewed with the new officer and the F.T.O., and then filed in the training documents. Discussion: None Proof of Compliance --Copy of written directive, and --Copy of at least weekly documented review by new officer and FTO, or --Observation of Field Training files On-Site 3.16 Training Rotations (E) The Agency has a written directive that requires each recruit rotate to at least one different shift during training. The recruit should rotate to at least one different FTO, if possible, during the training program. Discussion: None Proof of Compliance --Copy of written directive, and --Proof showing rotation to at least one different shift, and --Proof showing rotation to at least one different FTO, or explanation on DSF if rotation is not possible 3.17 Background Investigator Training (E) The Agency requires that personnel conducting applicant background investigations have training in conducting the required investigations prior to conducting applicant backgrounds. This requirement may be a formal class or a standard full outline or other specific written document that is required to be followed on any background investigation. Discussion: Minimum Training Level 3. Training requires attendance to Background Investigations class or copy of detailed instructions (or manual) for completing background investigations. Page 37 of 106 Agencies that do not have access to Background Investigator Training can meet this standard by requiring those assigned to conduct background investigations utilize a Background Manual (available for department editing in the Sample Manual) and complete their report in a particular format. Proof of Compliance --Copy of training records or certificates for Background Investigation training, or --Copy of any written outline or document required to be followed on every investigation. 3.18 Required Tele-communicator Training (V) If the Agency operates a communications center, personnel are trained in the operations in accordance with TCLEOSE requirements and in the procedures of the communications equipment and familiarity with departmental operations. Discussion: Minimum Training Level 3 & 1. This standard refers to Texas Occupations Code 1701.405. This standard requires this training even for agencies that may be exempted under the Occupations Code because of the small number of employees. Training in familiarity with department operations may be some form of formal training or by the provision and discussion of a departmental operations manual. Proof of departmental operations training is required. Proof of Compliance --Copy of training documentation, and --Observe Tele-communicators using the equipment – On-Site, and --Sign-off sheet for receipt of department manual, and --Interviews with Tele-communicators On-Site. 3.19 Police Chief Training (E) The Police Chief of the Agency has completed the required Texas Police Chief training program or has scheduled the required training. Discussion: Minimum Training Level 3. Texas Education Code Article 96.641 requires a Police Chief who is newly appointed or elected to attend a basic Chief training program currently provided by the Bill Blackwood Institute. This initial training must take place within two years of initial appointment or election. This requirement for Initial Training is only for the individual’s first appointment or election as a Chief and this law became effective on September 1, 1997. Chiefs serving since before that date are exempt from the Initial training. All Chiefs are still required to attend continuing training of 40 hours every 24 months as required in the law. Page 38 of 106 Proof of Compliance --Copy of training records or certificate, or --Copy of any document proving prior service as a Chief (if needed), or --Reservations letter for upcoming training (if needed). Page 39 of 106 CHAPTER 4 PERSONNEL Employees are an agency’s most valuable asset and selection of the most competent employees available is critical to the success of the agency’s mission. The selection of employees must be non-discriminatory, job-related, and administered in a fair and consistent manner. Continuing evaluation of employees is also necessary to ensure consistent direction of employee’s efforts toward agency goals. Good employee relations are also necessary to retain competent employees and provide for their continued growth and development. Whether “at will” or Civil Service, agencies must have clear procedures to ensure fairness in promotional opportunities. 4.01 Employee Selection Procedures (E) The Agency has a written selection process that details all elements of the selection process for both sworn and non-sworn applicants, and requires those elements to be administered in a fair and consistent manner. Applicants for sworn positions must meet TCLEOSE minimum standards and any legal mandates. Discussion: A written directive on the process or steps in the process to become a member of the agency for BOTH sworn and non-sworn. The non-sworn process may be outlined in a City Personnel Manual. The written directive should in some manner indicate that the process is to be administered in a fair and consistent manner. Minimum TCLEOSE standards for licensing are found in TCLEOSE Rule 217.1. Proof of Compliance --Copy of written process (department policy, applicant handout, or brochure) --(Must meet TCLEOSE standards for Sworn) --(Must also have selection process for non-sworn.) 4.02 Polygraph Examinations (E) If the Agency uses instruments to detect deception, such as a polygraph in the selection process, personnel who administer the test and evaluate the results must be certified in the use and testing with the instrument. Discussion: This requirement applies regardless of whether the polygraph operator is a member of the agency, a member of another agency, or independent contractor for the agency. Proof of Compliance --Statement on DSF if any polygraph or voice stress analyzer is used in selection process Page 40 of 106 --Copy of Operator training and/or certification certificates, or --Copy of Operator training records showing training or certification 4.03 Background Investigations for Selection of Employees (E) The Agency has a written directive which specifies the type of background investigation to be conducted on all sworn and non-sworn applicants prior to and following a conditional offer of employment. Discussion: The agency written directive should clearly detail the items to be investigated for both sworn and non-sworn members of the department. The directive must include those items required by TCLEOSE for sworn officers and those items which are completed before and after a conditional offer of employment. Proof of Compliance --Copy of any written directive describing background investigation process, and --Copy of background investigation file (sworn and non-sworn), or --Copy of Background Manual (if any). 4.04 Disposition of Selection Records of Applicants (E) The Agency has a written directive that determines the disposition of selection records of sworn and non-sworn employees that are selected for hire and those that are not selected for hire. Those records are maintained in compliance with the retention schedule adopted by the governing body. Discussion: Retention schedule for Law Enforcement agency records is the Local Schedule PS for Public Safety Agencies available on the Texas State Library website. Agencies must clearly state in their written directive where selection records are kept (who maintains them) and for how long for BOTH those individuals hired (usually kept in Personnel file for five years after separation or retirement) and for those not hired (usually kept by either department or city Human Resources for a period of 2 years.) Agencies may state in their directives that applicant records will be maintained in compliance with the city or organization’s Record Retention Schedule and provide a copy which shows the schedule for applicant records (both hired and not hired). Proof of Compliance --Statement on DSF regarding how and where files are maintained. --Copy of written directive, and --Copy of Records Retention Schedule (if referenced in policy), and --Photo of file locations. Page 41 of 106 4.05 Off-Duty Employment (E) The Agency has a written directive that specifies the criteria for off duty employment. The Directive must: a. Address who is authorized to work off duty employment. b. State the types of employment prohibited by the agency. c. Include the approval procedure for off-duty employment. Discussion: The written directive should clearly indicate who is eligible to work off duty law enforcement type jobs (usually sworn officers who have completed field training and are in good standing with the department); any prohibitions on the types of jobs that cannot be worked; and describe the approval process for working the jobs. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Copy of request for appropriate approval of off-duty work. 4.06 Promotional Process (E) The Agency has a written directive that describes the components of the promotional process, which may include any applicable qualifications, announcements, any testing procedures, grading, and any appeal process. Discussion: This standard does not require an agency to create or use any specific process, however, whatever process is used within the agency must be clearly described in the written directive. If the agency changes their process or allows the Chief to determine the process each time a vacancy occurs, the agency must clearly state that fact and describe how employees will be advised and how far in advance of any selection process. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Copy of promotional process announcement. 4.07 Promotional Eligibility Lists (E) If the Agency establishes a promotional eligibility list, a written directive specifies the duration of the list. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of eligibility list Page 42 of 106 4.08 Annual Performance Evaluations (EV) The Agency has a written directive that requires annual performance evaluations of all personnel, including requiring that the evaluations cover a specific period of time. Discussion: The written directive must clearly require annual evaluations and indicate when they are done each year. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of evaluation showing reviewed with the employee, and showing evaluations over a specific time period. 4.09 Performance Evaluation Training (E) The Agency trains supervisors in evaluating personnel performance and in conducting performance discussions. Discussion: Supervisors should receive training before being allowed to evaluate subordinates. The training portion of this standard must be met by showing proof of some form of formal training, or specific topic training at a school, seminar, or class; clearly showing the topic of training, such as a class schedule, syllabus, lesson plan, power point, completion certificate, or other documentation. Computer based learning programs may also be used. Proof will be either sign-in sheets, completion certificates, or TCLEDDS entry. The Recognition Provides a lesson plan and power Point presentation in the Sample Training that will meet the training requirements of this standard. Minimum Training Level 3: Training required here must be specific to the evaluation of employees. If this is taught in a management or supervision school, a copy of the lesson plan which shows specific training is necessary. Proof of Compliance --Copy of training material (lesson plan, power point, etc.), and --Copy of training sign-in sheet, or --Copy of training certificates. (If training certificate or training record shows only a supervision course – copy of Lesson plan showing performance evaluation training was part of course) Page 43 of 106 4.10 Employee Safety and Accident Prevention (EV) The agency has a written directive regarding employee safety to include accident and injury investigation and prevention. The directive includes: a. A requirement for the reporting, investigation, and review of all employee involved vehicle accidents and personal injuries occurring on-duty or in city vehicles, b. An annual review of all accidents and injuries by cause with recommendations for reduction, and c. A departmental safety training program for all employees. Discussion: The agency may determine the severity level of injury or accidents requiring reporting, investigation and review. This might be the level where a Workers Compensation report is required for personal injuries and a certain property damage threshold for vehicle accidents. There must be a requirement that all accidents that meet that threshold and all injuries be reported immediately and investigated. The annual review should be more than a simple counting and sorting and should include any recommendations for changes in policy, training or equipment to reduce accidents or injuries. Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof will be officer's signature or initials on receipt or test document. While this training requirement can be met by one training class or program, the results of the annual reviews may indicate a need for different or updated training. The Chief of Police should review this annual report and sign and date the report to show it was received and reviewed. Proof of Compliance --Copy of written directive, and --Copy of an accident or injury report complying with written directive (with results of investigation and review by supervisory staff.) --Copy of an annual review with recommendations --Copy of proof of training Page 44 of 106 CHAPTER 5 RECORDS AND INFORMATION MANAGEMENT Proper handling of agency records is critical to the successful prosecution of individuals charged with crimes and to provide the agency with the information to properly manage its operations. Agencies must comply with the provisions of the Texas Government Code, Chapter 552, regarding Public Information and the Retention Schedule for Records of Public Safety Agencies prescribed by the Texas State Library and Archives Commission. 5.01 Privacy and Security of Records (V) 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. Discussion: Privacy and security of records requires departmental records such as offense reports, arrest reports, criminal history reports, and other sensitive reports must be secured to prevent unauthorized access. This does not mean simply in a secure portion of the police building. Records must be maintained in a locked room or locked cabinets with only authorized persons having access. Juvenile records must also be maintained separately as required by law and must be secure as well. The person charged with maintaining the records must clearly be identified in the directive and proof of training provided. Minimum Training Level 3. The training portion of this standard must be met by showing proof of some form of formal training, or specific topic training at a school, seminar, or class; clearly showing the topic of training, such as a class schedule, syllabus, lesson plan, power point, completion certificate, or other documentation. Computer based learning programs may also be used. Proof of Compliance -- Copy of written directive, and -- Copy of training record of records management designee, and -- Observation of security of records On-Site. 5.02 Records Retention (E) The Agency has a written directive for the life cycle management of records in compliance with state law. If the agency maintains juvenile records, fingerprints, photographs, or a gang intelligence database, these records are addressed in the life cycle management plan. Discussion: Retention schedule for Law Enforcement agency records is the Local Schedule PS for Public Safety Agencies available on the Texas State Library website. These standards may be already incorporated into citywide records retention plans and policies. Page 45 of 106 If a Candidate Agency creates juvenile fingerprints, photographs, or maintains juvenile arrest records, or maintains a gang database, and the City Records Retention Plan does not specifically address these items, the Candidate Agency should address their retention in departmental policy documents. Retention of these documents should meet requirements in the Texas Family Code and Texas Code of Criminal Procedure. If these items are not maintained, a statement indicating such is made on the DSF. The Recognition program does not require that agencies destroy any records, however any records that are destroyed must be done in accordance with the law. If records are not destroyed, they must be kept secure. Proof of Compliance --Copy of written directive, and --Copy of records retention plan or procedures, (may be copy of city plan or may be in department policy.) 5.03 Release of Information (E) The Agency has a written directive, in accordance with current law, regarding the release of information and open records requests, and provides training to appropriate employees. Discussion: Department policy should clearly address what information in police reports is releasable and what is not to be released. The policy should also address who is responsible for releasing information and/or responding to open records requests. Minimum Training Level 1. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received and signed for a copy of the policy. Proof of Compliance --Copy of written directive, (should address what information is releasable and what is not, and who is responsible for releasing information from police reports,) and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Proof of training of appropriate employees in Open Record Act. 5.04 Public Information Officer (P.I.O.) (E) The Agency has a designated person(s) to release information to the news media and the public about cases or investigations. The designated person will have some type of training prior to releasing public information. Discussion: (Level 3 Training) The training portion of this standard must be met by showing proof of some form of formal training, or specific topic training at a school, seminar, or class; clearly showing the topic of training, such as a class schedule, syllabus, lesson plan, power point, completion certificate, or other documentation. Computer based Page 46 of 106 learning programs may also be used. Proof will be either sign in sheets, completion certificates, or TCLEDDS entry. Proof of Compliance --Copy of document appointing or informing agency who is P.I.O., and --Copy of training record, lesson plan or training certificate in Public Information or Media Relations, Page 47 of 106 CHAPTER 6 USE OF FORCE Law enforcement agencies are the only function of government authorized to use force against a citizen. Officers are sworn to intervene in circumstances to keep the peace in their jurisdiction and in doing so must sometimes resort to the use of force when other means fail. This authority to use force is granted by the people of a community with the full expectation that it will be used appropriately. It is therefore the obligation that professional police organizations review and examine their use of force to ensure that it is utilized only in conformance with the law, departmental policies and community expectations. 6.01 Authorization to Use Force (E) The Agency has a written directive that authorizes designated employees to use only the level of physical force that is necessary and reasonable to achieve the desired legal objective. Discussion: This requirement is to ensure Recognized Agencies only allow officers to use the minimum level of force necessary to achieve a legal objective. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) 6.02 Authorization of Deadly Force (E) The Agency has a written directive that authorizes police officers to use deadly force when the officer reasonably believes that his/her life is in immediate danger of death or serious bodily injury or a third person is in immediate danger of death or serious bodily injury. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Review any appropriate disciplinary actions (if any.) 6.03 Use of Force Documentation and Review (EV) The Agency has a written directive requiring completion of a specific administrative form for this purpose only to document the use of force by agency personnel, including a review process of each incident by supervisory personnel. The form may be electronic or paper and the format will be designated by the agency. Page 48 of 106 Discussion: This standard requires a special “Use of Force” form that is created by the department and used to report use of force at a level defined by the agency. Some agencies require use of the form any time an officer uses any form of physical force or higher, or points a firearm at a citizen. Others require reporting only when officers use a firearm or less-lethal weapon. The form must have a review process where supervisors review the actions to determine if the officer was appropriate in the use of force. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of two or more completed “Use of Force” forms. 6.04 Weapons and Ammunition (E) The Agency has a written directive to authorize the types of weapons and ammunition approved for use by the department. Discussion: The intent of this standard is to ensure that the Chief of Police is is aware of and has approved all weapons and ammunition used by the department. This standard requires a specific list of the issued or approved weapons (such as Glock 22, Sig Sauer, Smith and Wesson) and the approved or issued calibers. The list should include all firearms issued or approved by the agency including specialized weapons used by an ERT team. If the agency allows different back-up or off-duty weapons, these weapons must also be listed. (it is permissible on back-up or off-duty weapons to state than any weapon of a reliable make as determined by the department rangemaster in at least XX caliber. Clearly, officers must also train and qualify with these weapons annually and all weapons authorized for carry, including back-up and off-duty, should be documented by make, model and serial number and qualification date, by the department.) The agency must also list approved ammunition (such as Gold Dot 150g hollow point, or Federal, Speer, etc.). If the agency believes that approved weapons or ammunition may change frequently, the approved list can be referred to in policy and issued as a memorandum or letter to all personnel from the Chief of Police. Proof of Compliance --Copy of written directive, and --Copy of list of weapons and ammunition (if not contained in directive), and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. Page 49 of 106 6.05 Carrying and Use of Weapons, On and Off Duty (E) The Agency has a written directive notifying personnel when they are authorized to legally carry and use a weapon both on-duty and off-duty. Discussion: The written directive should clearly state when officers may carry firearms both on and off duty and any restrictions. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or 6.06 Documenting the Discharge of Firearm (EV) 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 situations. Discussion: The standard requires the agency to have a written directive which requires officers to document the discharge of any firearm. It must contain the exception for both training and recreational activities. The policy must also require some form of supervisory review of the discharge. Most agencies just have officers do an immediate verbal report to the on-duty supervisor and then complete a use of force report. Most departments conduct more detailed review of discharges up to an including a full Internal Affairs and Criminal investigation if someone is injured. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of firearms discharge report, with supervisory review. 6.07 Medical Aid after Using Force (E) The Agency has a written directive instructing personnel in obtaining first aid for anyone injured, or reporting an injury, after use of force has been applied. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of report showing medical assistance was requested when needed. Page 50 of 106 6.08 Removal from Line Duty after Using Deadly Force (E) The Agency has a written directive for relieving any employee from line duty who has used any 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 administrative review can be conducted. Discussion: This standard requires the removal of officers from line duty after they have used any type of Deadly Force. Line duty is defined as any enforcement position. Chiefs may assign the officer to non-enforcement duties until the administrative review is completed. This standard also applies in the event officers are involved in a traffic collision where a person was seriously injured or killed. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of notice to officer when relieved of duty pending review, if occurred. 6.09 Warning Shots (E) The Agency has a written directive governing the discharge of warning shots. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of appropriate disciplinary actions (if any.) 6.10 Annual Use of Force Report (E) The Agency prepares an annual report on 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 identify any trends in the use of force by agency personnel, training needs, equipment needs, or policy revisions. Discussion: The intent of this standard is to attempt to reduce the overall use of force exercised by an agency when appropriate. While it is clear that officers must sometimes resort to the use of physical force to accomplish their objective, each use of force places the officer as well as the subject at risk of injury. This report therefore, should be an analysis, not just counting and sorting of the incidents. The report should lead to conclusions about the agency's use of force and whether any policies need revision, any additional training is needed, or any changes made in equipment or methods of operation or response. Page 51 of 106 If the agency does not use force frequently and has less than four or five incidents annually, a useful analysis may be difficult. Consideration should be given to reviewing more than one year together to get sufficient numbers to show specific trends, if they exist. Depending on the number of incidents and the information collected when force is used, departments should consider reviewing such items as: what actions are reportable, how many were reported, is this an increase or decrease overall, were all reviewed appropriately, what types of force was used, was the force effective and if not why, the locations where the force was used, type premises, number of officers present, which officers used force, precipitating events, type of offense or arrest, and alcohol involvement. These are only a few of the items which can be reviewed in an attempt to determine if policy issues need to be addressed, additional training developed, or different equipment acquired. Proof of Compliance --Copy of annual report. --Copy of any action taken as a result of identifying any trends, training or equipment needs, or policy revisions. Page 52 of 106 CHAPTER 7 LAW ENFORCEMENT OPERATIONS Basic law enforcement operations have developed over time with input from our community, the courts, professional law enforcement organizations, as well as advancements in technology. The standards provided in this section are the best practices in our industry for law enforcement operations. They ensure agencies are meeting the most basic needs of both their employees and their citizens. Most prominent in this chapter are the standards which ensure an agency protects the rights of those it serves. 7.01 24-Hour Law Enforcement Response to Emergency Situations (V) If the Agency has 24 hour emergency response responsibility, the Agency responds to requests for law enforcement services 24 hours a day, or has arrangements with another law enforcement agency to respond to those requests. Discussion: None Proof of Compliance --Observation of 24-hour response, On-Site, and --Staffing schedules showing 24 hour staffing. --Verify communication and/or telephone calls on emergencies are forwarded to the responding agency if another law enforcement agency is used after hours. 7.02 Arrests with a Warrant (E) The Agency trains its personnel on how to obtain and serve arrest warrants pursuant to the Texas Code of Criminal Procedure. Discussion: While no written directive is required, many agencies find it easier to put these instructions into policy form. The training should cover how to obtain an arrest warrant (prepare affidavit, etc.); when and how to serve a warrant (do you want officers serving a misdemeanor traffic warrant at 3am at a private residence); and what to do with a hazardous warrant such as when you believe the offender may be armed (such as contact a supervisor for review before serving.) This Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of training lesson plan or written directive, and --Proof of training of officers, and --Copy of an affidavit for arrest warrant prepared by department member, and --Copy of offense where arrest for warrant was executed (other than traffic). Page 53 of 106 7.03 Arrests without a Warrant (E) The Agency trains its personnel how to arrest without a warrant pursuant to the Texas Code of Criminal Procedure. Discussion: While not required, this training is often put into actual written directive form. It should provide officers with instruction of when they are authorized to make arrests without a warrant. While agencies can refer to the Code of Criminal Procedure for authority, the department may also want to provide directions of when it is appropriate and inappropriate to make arrests without a warrant. Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of training lesson plan or written directive, and --Proof of training of officers, or --Proof of receipt of policy by officers. 7.04 Miranda Warning (E) The Agency trains its personnel in the use of the Miranda Warnings according to current law. Discussion: Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Verification Items and Possible Methods of Proof of Compliance --Copy of training lesson plan or written directive, and --Proof of training of officers, or --Proof of receipt of policy by officers, and --Copy of department reports showing appropriate use of Miranda Warnings. 7.05 Interrogation (E) The Agency trains appropriate personnel in methods to conduct an interrogation. Discussion: Going beyond the legal issues provided in Standard 7.04, this training should cover legal issues regarding the voluntariness of confessions, what officers are prohibited from doing, breaks and access to restrooms, invocation of right to counsel, and how details of the interrogation are to be recorded. Page 54 of 106 Minimum Training Level 3. The training portion of this standard must be met by showing proof of some form of formal training, or specific topic training at a school, seminar, or class; clearly showing the topic of training, such as a class schedule, syllabus, lesson plan, power point, completion certificate, or other documentation. Computer based learning programs may also be used. Proof of attendance to schools such as Reid interrogation schools is also proof of compliance. The Recognition program has a lesson plan and Power Point available in the Sample Training which will meet this training requirement. Proof of Compliance --Copy of training lesson plan or written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. 7.06 Search and Seizure Warrants (E) The Agency has a written directive instructing its personnel on Search Warrants. The directive includes: a. How to obtain a search warrant. b. How to execute a search warrant. c. How to return a search warrant. Discussion: The directive must clearly explain how to obtain a search warrant (preparing affidavit, etc.); how and when to execute a search warrant, to include the possibility of a hazardous warrant or facing armed resistance, and how to return a warrant. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. 7.07 Searches Without A Warrant (E) The Agency has a written directive describing the scope and authority for searches incident to arrest and other searches that may be conducted without a warrant. Discussion: This directive should clearly instruct officers in the exceptions to the search warrant (such as incident to arrest, consent, plain view, emergency, etc.) and when it is appropriate to use them. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. Page 55 of 106 7.08 Family Violence (E) The Agency trains its personnel in the handling of family violence cases in compliance with Texas law. Discussion: The training should cover how to respond to calls, how to investigate, when arrests are appropriate, the enforcement of Protective Orders, obtaining Emergency Protective Orders, and providing Victim Assistance Information. This information is part of the continuing education requirement of TCLEOSE and their lesson plan is available on-line. Minimum Training Level 1. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received and signed for a copy of the policy. Proof of Compliance --Copy of training lesson plan or written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. 7.09 Preliminary Investigations (E) The Agency trains appropriate personnel in conducting preliminary investigations. Discussion: This training should be more than just a statement that patrol officers are responsible for conducting preliminary investigations. It should include what steps are taken such as ensuring an offense has been committed, securing the scene, interviewing the complainant and witnesses, collecting physical evidence (or arranging for the collection), and writing a report, etc. This can be in the form of departmental written directive or in training lesson plans with proof of training. Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of training lesson plan or written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. Page 56 of 106 7.10 Follow up Investigations (E) The Agency has a written directive which: a. Identifies the criteria necessary for a case to be assigned for follow-up investigation, and b. Identifies how cases are assigned for follow-up investigations and any follow-up reporting, if required. The Agency also requires appropriate personnel to be trained in conducting follow-up investigations. Discussion: Appropriate personnel might be criminal investigators or supervisors who conduct follow-up investigations. Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of written directive and criteria for assigning cases for follow-up and reporting, and --Proof of training of appropriate officers in follow-up investigations, and --Proof of receipt of copy of policy by officers. 7.11 Informants (V) If the Agency uses informants, they will have a written directive to instruct appropriate personnel in the use of informants. The written directive will include: a. The identification and recruitment requirements, limits on who can be used, and personal interaction with and appropriate use of informants. b. Payments to informants and necessary documentation. c. Informant file requirements. d. Informant files will be secured with limited access. Discussion: The requirement that records be kept secure includes being secured from unauthorized access by agency employees. This requires the records to be kept in locked cabinets or rooms with only limited access by designated individuals. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of documentation of payments to informants, and --Observation of informant files are secure and have limited access, On-Site. Page 57 of 106 7.12 Confidential and/or Narcotics Funds and Audits (V) If the Agency has confidential and/or narcotics related funds, there is a written directive for the management of those funds. The written directive will include: a. Who is responsible and accountable for the maintenance of the funds b. How and where the funds will be secured. c. The procedures for requesting, receiving and returning unused funds. d. The documentation of cash transactions. e. The auditing of those funds every 6 months. Discussion: The requirement that these funds be kept secure includes being secured from unauthorized access by agency employees. This requires the funds to be kept in locked cabinets or rooms with only limited access by designated individuals. The funds should have some form of a balance sheet or log that assists with the audit process. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observe funds are secure and determine level of access, On-Site, and --Proof of audits, and --Proof of tracking of debits and credits to the fund. 7.13 Vehicle Pursuits (E) The Agency has a written directive for vehicle pursuits. The written directive includes: a. The criteria for initiating a pursuit b. The method of conducting a pursuit. c. The supervision of a pursuit. d. The criteria for terminating vehicle pursuits. The Department also trains appropriate personnel in the pursuit policy. Discussion: Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Agencies should be able to provide proof of training of all sworn and dispatch personnel. Proof of Compliance --Copy of written directive, and --Proof of training of officers, or --Proof of receipt of copy of policy by officers. Page 58 of 106 7.14 Pursuit Documentation (EV) 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: a. The reasons for the pursuit. b. The personnel involved. c. The result of the pursuit, to include any injury, damage or other significant events. An annual report of agency pursuits is prepared for the Agency Director. Discussion: This standard requires a specialized form designed by the agency. Bullet c. can be met by having specific questions regarding each of these items or by the use of a general “Results of Pursuit” or “other Comments” section on the form. Supervisors should review the form for compliance with agency directives. The Annual Report of agency pursuits is more than a counting and sorting. The report should identify trends and draw conclusions about the need for policy changes, training or changes in equipment. If the agency does not engage in pursuits frequently and has less than four or five incidents annually, consideration should be given to reviewing more than one year together to get sufficient numbers to show specific trends if they exist. The Chief of police should sign and date the form showing proof that he/she has reviewed the report. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of pursuit reports with chain of command review, and --Copy of annual report with Chief receipt. 7.15 Non Emergency and Emergency Response (E) The Agency has a written directive for responding to emergency and non-emergency calls for service, including the use of authorized emergency equipment on Agency vehicles. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. Page 59 of 106 7.16 Accident Investigation (E) The Agency has a written directive on conducting accident investigations. The written directive will include: a. How officers will respond to the scene. b. Obtaining emergency aid for any victims. c. Preserving the scene. d. Taking any enforcement actions. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Copy of accident reports showing response, obtaining emergency aid, protecting the scene, and taking enforcement action 7.17 Reflective Vests (V) The Agency has a written directive that requires personnel to wear a reflective vest as soon as practical when either directing traffic or working at the scene of an accident. Discussion: Title 23, Code of Federal Regulations, Part 1, Section 634, became effective November 24, 2008, and requires officers working on federally subsidized highways to wear high visibility clothing. This high visibility clothing must meet Performance Class 2 or 3 standards in ANSI/ISEA 107-2004. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Verify officers have access to a vest, On-Site, and --Observe vest worn on traffic direction or accident investigation, On-Site. 7.18 Roadblocks (E) If the Agency authorizes the use of roadblocks, it has a written directive and trains its personnel in the use of roadblocks, including when and how roadblocks may be used. Stop sticks or road spikes are not considered roadblocks. Discussion: This standard intends to address the use of stationary roadblocks during pursuit situations only. If the agency allows roadblocks in any circumstances at all, the agency must train officers in when it is appropriate to use roadblocks and how to use them safely. “Rolling Roadblocks” should be addressed in the agency’s pursuit policy if used or authorized. Page 60 of 106 Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. 7.19 Stop Sticks/Road Spikes (E) If the Agency authorizes the use of stop sticks/road spikes, it has a written directive and trains its personnel in the use of stop sticks/road spikes, including when and how to safely deploy them. Discussion: Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of written directive, and --Proof of training of officers in spike strip operation, and --Proof of receipt of copy of policy by officers. 7.20 Seatbelts (V) The Agency requires occupants in Agency vehicles to wear a seat belt, as required by Texas law. Discussion: State law requires the driver to wear a seat belt and to be responsible for ensuring children under age 14 wear a seat belt. Reliance on the state law or policy stating that all prisoners will be seat belted in is insufficient. There can be other adult occupants, such as riders, observers, and citizens being transported as a public service. Standard requires all occupants are required to wear seat belts. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observation of personnel using seatbelts when driving Agency vehicles, On-Site. Page 61 of 106 7.21 Court Contact Information (E) The Agency requires court contact information to be provided at the time a citation is issued. Discussion: A copy of a citation showing court contact information is sufficient proof of compliance with this standard. Proof of Compliance --Copy of citation or other form showing how to contact court, and --Copy of directive or instructions to officers on providing information, if required. 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 citations are stored on site, they are stored in a secured place with limited access. Discussion: The intent of this standard is to control issuance of blank traffic citations. The citations need to be in a locked location with only limited access by court personnel or police supervisors. Officers or other personnel should not have uncontrolled access to books of citations. Officers needing citations should be required to request issuance and citations should be signed out by number. A sign-out log may be in paper form or computerized but should be audited periodically to ensure books of citations are not missing and all numbered books and citations are accounted for. Agencies that use Electronic Ticket Writers may comply with this section by showing either vendor documents or a letter which indicates that tickets cannot be erased or voided by the officer after printing. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observation on citations secured when stored, On-Site, and --Observation of documentation of citations issue (log or computer entry), On-Site 7.23 Body Armor (V) The Agency has a written directive on body armor, including availability, and when the body armor is to be worn. 7.23 Body Armor (V) The Agency has a written directive on the availability and wearing of body armor, including the mandatory wearing of body armor in all uniform field assignments. Effective January 1, 2013 Required after January 1, 2014 Page 62 of 106 Discussion: Effective January 1, 2014, the agency must have a written directive requiring the wearing of body armor in all uniformed field assignments and availability and use in other situations. The only exception to required wear for field assignments allowed is for documented medical reasons for specific individuals or by direct order or approval of the Chief of Police or designee, in situations where wearing of the armor would be detrimental to the health of the officers (such as extreme hot weather and extended exposure to the sun for extended periods.) These exceptional situations must be individually approved at the time and not a blanket policy. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observation of the use of body armor, On-Site, and --Observation of the availability of body armor, On-Site. 7.24 Inspection of Patrol Vehicle and Equipment (E) The Agency requires personnel to inspect the contents, appearance, and operability of all Patrol equipment assigned to, or provided for, an Agency vehicle, assigned for routine patrol use prior to each assignment or the beginning of each shift. Discussion: A copy of completed vehicle check sheets is sufficient proof of compliance with this standard if all parts of the standard requirements are covered on the check sheet. Agencies with home storage vehicles may require in policy that employees check assigned vehicles prior to each assignment or shift and require a formal report only if any new deficiency is found. Formal reports on mileage, contents, appearance and operability may be required as needed by the agency but should be also addressed in policy. Agencies are not required to have written inspection reports if officers are required to record the inspection on audio/video in-car camera systems prior to use. Proof of Compliance --Requirement in Policy for vehicles to be checked prior to each assignment or each shift, and --Copy of vehicle checklist, if used, or copy of recorded audio/video statement from in-car recording system. 7.25 Special Use Equipment (V) The Agency has a written directive which requires that any equipment, including vehicles used for special assignments, or for other than routine use, have a documented readiness inspection at least quarterly. Discussion: This standard addresses any special use vehicles such as command vehicles, crime scene search vehicles, and equipment such as radar trailers, generators, lighting Page 63 of 106 systems, rescue equipment, weapons and equipment in the armory that is not issued, and emergency operations center equipment is also included. Sample checklists are available on the website. Agencies should take care to identify all special use equipment. If on-site teams identify equipment that should be inspected that is not listed, the agency may have to repair the file during the on-site. ERT equipment, including specialized weapons, specialty ammunitions, throw phones, ballistic shields, etc. are covered in Standard 8.06. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observation that equipment is ready to be used, On-Site, and --Copy of quarterly inspection documentation, On-Site. 7.26 Alarms (E) The Agency has a written directive on protocols for responding to alarms by agency personnel. Alarms may include, but are not limited to burglary, robbery, panic and medical alarms. The written directive includes: a. Protocols for Communication personnel who receive and dispatch the calls. b. Procedures for personnel responding to alarms. Discussion: This written directive could include how alarms are dispatched (audibly or covertly using electronic transmission), officer response procedures, and tactical considerations such as whether officers should approach the location, awaiting cover, calling the location, closing the channel to radio traffic while searching a building, and whether entry should be made when no one responds to attempted contacts. Proof of Compliance --Copy of written directive, (includes patrol and communications responses), and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. 7.27 Reserve Officer Program (E) If the Agency has a Reserve Officer program, a written directive describes the program and designates the types of functions the Reserve Officers will or will not perform. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. --Copy of a reserve assignment (may be explained on DSF) Page 64 of 106 7.28 Traffic Enforcement Operations (EV) The Agency has a written directive describing traffic enforcement activities. The written directive includes: a. The traffic enforcement policy. b. The availability of officer discretion. c. Procedure for citation issuance. d. Under what circumstances a custodial arrest may be made. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. 7.29 Civil Process Records (E) If the agency is required to execute civil process, a written directive provides the direction on maintaining records on the subject of the process which includes at a minimum: a. When the process was received. b. When service is due. c. The appropriate court information. d. The officer assigned. e. Documentation of attempts at service if not served by the due date. Discussion: If the agency does not serve Civil Process, the agency should submit a DSF indicating that function is not performed. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of civil process record and log. 7.30 Civil Process Procedures (E) If the agency serves civil process, written directives govern the appropriate methods of service and required actions of the member serving the process. Discussion: If the agency does not serve Civil Process, the agency should submit a DSF indicating that function is not performed. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of report of service of process Page 65 of 106 7.31 Sex Offender Registration (E) If the agency is required to perform sex offender registration, the agency has a written directive which instructs agency personnel in how to conduct the registration process. Discussion: Agencies which have primary law enforcement jurisdiction for a geographic area are usually responsible for registering sex offenders within that jurisdiction. Agencies should have a written directive that instructs personnel how to conduct that registration process and who to notify after registration. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of a sex offender registration. 7.32 Eyewitness Identification (E) The agency has a written directive describing procedures for eyewitness identifications and trains appropriate personnel in the administration of live and photographic lineups. The written directive shall include at minimum: a. The composition and presentation process for live or photographic line-ups designed to prevent opportunities to influence the witness, and b. The prescribed instructions to witnesses including a statement that the suspect may or may not be in the line-up, and documentation of the results, and c. The procedures to be used in administration to the deaf and illiterate or those with limited English language proficiency, and d. When it is appropriate to use on-scene identifications. Discussion: If a local District or County Attorney has issued written instructions on the procedures for eyewitness identifications, these instructions will meet this standard. Proof of training will still be required. Agency policy must meet above standards as well as the requirements of HB 215. Adoption of the LEMIT version or the TPCA Sample Policy will meet these standards but agencies are free to construct their own that meet these requirements. Prevention of opportunities to influence a witness can further include using sequential presentation and taking steps to prevent inappropriate feedback by the administrator. Prohibition of feedback can be accomplished by instructing or cautioning officers to take steps to avoid influencing a witnesses’ selection, developing procedures that would prevent that feedback, or by use of blind administration. Blind administration refers to using an officer, other than the officer constructing the photographic line-up, who does not know the identity of the true suspect, to present the line-up to the eyewitness. Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Page 66 of 106 Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Appropriate personnel, such as Criminal Investigators or other officers who would have the occasion to conduct eyewitness identification must be trained. Proof of Compliance: --Copy of Written Directive (that meets all parts of standard), and --Proof of training of appropriate officers in policy, and --Proof of receipt of copy of policy by officers, or --Copy of documentation from an eyewitness identification. 7.33 Missing Persons (E) The agency has a written directive on the handling of missing persons. The written directive includes: a. No requirement for a waiting period, and b. The initial investigation process and reporting to required entities including entry into NCIC, and c. Any special considerations concerning children or the elderly, if any, and d. The use of electronic alert systems if available to the agency. Discussion: Special considerations concerning children or the elderly should include such things as notification of additional resources, assigning personnel to remain on case until resolved, public notifications, or use of tip lines. Electronic alert systems include such programs as Amber/Silver Alerts or other available systems. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, or --Copy of missing persons offense report showing policy followed. Page 67 of 106 CHAPTER 8 UNUSUAL SITUATIONS The majority of police work is fairly routine even though it may involve a crime of violence. However, some situations are of such a critical nature or are of such a magnitude that special responses are necessary. These may include barricaded subjects, bomb threats, or even natural disasters. Prior planning and training for these events and sound policy on how they should be handled is critical to the successful conclusion of an event. Standards in this section address the most critical of these situations. 8.01 Barricaded Suspect and/or Hostage Incidents (E) The Agency has a written directive instructing personnel how to respond to a barricaded suspect or hostage incident which includes: a. Responding to the scene. b. Determining the nature of the event and securing the scene. c. Calling appropriate assistance and/or supervision. d. Evacuating or protecting bystanders. Discussion: This standard is designed to ensure the officers and dispatchers are aware of how they should handle a barricaded person or hostage situation. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of after action reports, if any. 8.02 Bomb Threats and Responding to Bomb Incidents (E) The Agency has a written directive instructing personnel how to receive, document, and respond to bomb threats and actual bomb incidents. Discussion: This directive could address how communications personnel should receive and question such callers, what information they should attempt to gain, how to dispatch officers (by radio or telephone), officer response methods, investigative steps, when and when not to search, what to do if a device is found, what type of offense to make among others. Proof of Compliance --Copy of written directive, and --Proof of receipt of copy of policy by officers, or --Proof of training of officers in policy, or --Copy of any offense reports or after action reports. Page 68 of 106 8.03 Hostage Negotiations (E) If the Agency has full or part-time Hostage Negotiators, a written directive established the criteria for the selection of hostage negotiators. Discussion: Some agencies may use a detailed selection process including interviews by contracted psychologists. Smaller agencies may simple advertize the vacancy and the chief may select the person who he/she believes would do the best job. Regardless of the process used (and using psychological expertise input is recommended) the process needs to be clearly described in policy. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of any recent selection process, if any. 8.04 Emergency Response Team Officers (E) If the Agency has full or part-time Emergency Response Team Officers, a written directive established the criteria for the selection of the Officers. Discussion: Some agencies may use a detailed selection process including interviews by contracted psychologists. Smaller agencies may simple advertize the vacancy and the chief may select the person who he/she believes would do the best job. Regardless of the process used (and using psychological expertise input is recommended) the process needs to be clearly described in policy. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of any recent selection process, if any. 8.05 Emergency Response Team Procedures (E) If the agency has a response team, a written directive governs the response to incidents. Discussion: This directive should outline when and under what circumstances the team is called out to handle an incident. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Incident reports indicating response, if any. Page 69 of 106 8.06 Emergency Response Team Equipment (V) If the Agency has Emergency Response Team Officers, the Agency approves any specialized equipment used for special operations and requires a documented inspection of the equipment quarterly. 8.06 Emergency Response Team Equipment (V) If the Agency has Emergency Response Team Officers, the Agency approves any specialized equipment used for special operations and requires a documented inspection of the equipment quarterly. The agency also provides each member of an ERT with Self Aid / Buddy Aid Emergency Medical Equipment. Effective January 1, 2013 Required after January 1, 2014 Discussion: The quarterly inspection of this specialized equipment is required regardless if it is assigned to individual officers and carried in their squad car, or stored in a department facility. All ERT equipment and specialized weapons, and equipment should be inspected. The minimum Self Aid / Buddy Aid equipment required consists of a compress bandage, a piece of plastic for sealing a pneumothorax, a tactical tourniquet, and carrying pouch to allow carrying on the person. ERT teams may meet this standard on a team basis by having properly equipped and trained Tactical Medics or MDs, if these personnel accompany entry teams into hazardous locations. Proof of Compliance --Copy of approving documentation, and --Observation of equipment designated by the agency, On-Site, and --Copy of quarterly documented inspections. 8.07 Emergency Operations Plan (V) 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: a. Civil disturbances. b. Mass arrests. c. Response to natural and manmade disasters. Discussion: Most County Emergency Operations Plans provide for law enforcement response to natural and manmade disasters. Few, however, have provisions for mass arrests or how to respond to civil disturbances. Agencies who wish to use the County Plan as their Emergency Response Plan should add sections on mass arrests and the procedures for handling Civil Disturbances to their Patrol Standard Operating Procedures or other departmental policies and procedures. Page 70 of 106 Mass arrests should cover how arrests are made, arrangements for temporary holding, report writing process, and how and where prisoners are transported. Civil disturbances should cover how officers should respond to these incidents and the importance of protecting the rights of the protestors while at the same time ensuring the rights of the public are not infringed upon. Agencies should ensure Communications personnel and at least Command level personnel have been briefed on the plan and have access to a copy. Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of plan for all items required, and --Proof of training of appropriate personnel, and --Observation that plan is accessible by all command level personnel and communications personnel, On-Site. 8.08 After Action Report (EV) The Agency has a written directive that requires an after action report for any natural or man- made disaster, or any unusual occurrence as defined by the Agency. Discussion: After action reports are usually completed by the commander or other supervisor present at the incident. It will generally cover a description of the event, the plans made, the staffing level and how assignments were made, and any traffic issues. The most important part of an After Action Report is a description of the things that went well and the things that should be improved next time. Recommendations are also made regarding any policy changes needed, staffing and equipment, and planning issues. Agencies should list in their policy all the types of events where the department wants an After Action Report completed such as all natural and man made disasters, barricaded person or hostage incidents, anytime ERT responds to an incident, any officer involved shooting, and any recurring special event. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of After Action reports. Page 71 of 106 8.09 Review of Emergency Operations Plan (V) The Agency must conduct a documented review of the Emergency Operations Plan at least every two years. The review may be a full or partial exercise, a tabletop exercise, or a command/supervisory staff discussion and review of the plan. Discussion: None Proof of Compliance --Observation of Emergency Operations Plan review, On-Site --Copy of documentation of plan reviews. 8.10 Homeland Security (E) 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. Discussion: This person does not have to be a police officer but should be either a member of the law enforcement agency or located within the department facility and required to review homeland security information regularly. Proof of Compliance --Copy of documentation designating specific individual and required duties --Copy of any Homeland Security issues brought to the attention of the agency 8.11 National Incident Management System (E) The Agency trains its personnel in the NIMS (National Incident Management System) or participates with another agency for training. Every sworn officer will complete all of the NIMS courses required for each rank. The courses are available through the FEMA Website. Discussion: Minimum Training Level 3. The training portion of this standard must be met by showing proof of some form of formal training, or specific topic training at a school, seminar, or class; clearly showing the topic of training, such as a class schedule, syllabus, lesson plan, power point, completion certificate, or other documentation. Computer based learning programs may also be used. Patrol Officers must have the 700 Familiarization and ICS100 Supervisors must also have ICS200 The Chief (other ranking officer who would actually handle the field operations) ICS300 Proof of Compliance --Copy of a training record for each rank required above. Page 72 of 106 8.12 Hazardous Materials (V) The Agency has a written directive instructing employees who to contact for immediate response to large scale Hazardous Materials and Bio Hazard situations. Discussion: This standard is intended to address only those large scale events where some decontamination processes are required. The agency is only required to have a written directive informing employees who to contact to respond. Proof of Compliance --Written Directive which instructs personnel who to call, and Proof of use or distribution of policy. Page 73 of 106 CHAPTER 9 COMMUNICATIONS Basic communications operations are necessary to provide fast, efficient and reliable service to the citizens of a community. It is also necessary to ensure the safety of the responding officers and employees. Reliability and access to state and national databases is required to provide officers with the information necessary to do their job and protect them from harm. 9.01 Communication Centers (24 hour access) (V) If the Agency has 24 hour emergency response responsibility, the Agency has a communications center, or uses a communications center, that is staffed 24 hours a day, 7 days a week for contact by the public. Discussion: Providing a work schedule for personnel in communications can prove compliance with this standard. Proof of Compliance --Observation of Communication Center, On-Site, and --Copy of staffing schedule, and --Interview with supervisor, On-Site. 9.02 Facility Security (V) If the Agency operates a communication center, the Communications area is secured from the general public and allows only those persons designated by the agency to be in the communications area. Discussion: The agency should indicate in their written directive who is authorized entry. Proof of Compliance --Observe Communications Division security On-Site, and --Interview staff regarding security procedures, or --Photographs of security measures. 9.03 Playback System (V) The Agency has a playback system for telephones and radios to allow for information to be retrieved when necessary. Discussion: Radios and all incoming telephone lines where calls are received from citizens are required to be recorded. Immediate playback systems for radio transmissions are encouraged but not required if regular tape backup is accessible by on-duty dispatchers if needed. Page 74 of 106 Proof of Compliance --Observe the playback system is functioning properly On-Site, and --Interview personnel regarding training in its operation. 9.04 Back Up Power Source (V) The Agency has access to a backup power source, or other alternate means of communications, in order to maintain operation of radios and telephones during a power failure. The backup power source or alternate means of communication has security measures to prevent unauthorized access or tampering. At least quarterly documented testing of the back-up system is required. Discussion: If the back-up power source is a generator, then the generator “has security measures to prevent unauthorized access or tampering.” This can be achieved by any number of means including fencing with locked or secured gates; locking all access panels and fuel fill caps in some manner to prevent or clearly show evidence of tampering should it occur; or having the generator inside a secured area, such as a fenced back area of a station with secure access and locked panels and fuel fill cap. Having the area monitored by video cameras would provide additional security. If the back-up system is a battery operated portable radio or other battery back-up system, the system must also be protected from unauthorized access or tampering. Battery backup systems must provide a minimum of 2 hours of continuous use to allow the agency administration to make alternate arrangements for continuous operations. The department needs to have documentation that shows the generator or UPS system has been tested regularly as per departmental policy. This can be some form of log or receipt from a company which tests the system at least quarterly. Proof of Compliance --Observation of back-up power system On-Site, and --Observation of security measures to protect back –up power, and --Documentation of periodic testing. 9.05 Emergency Telephone Number (V) The Agency has a single emergency telephone number for citizens to obtain emergency police services. Discussion: The agency may have other administrative numbers which are answered by communications but the agency should advertise only one number for emergency service. Proof of Compliance --Observe incoming lines for single emergency contact telephone number for citizens, On-Site, or --Copy of telephone book page showing single number for police service. Page 75 of 106 9.06 24-hour Two Way Radio Capability (V) The Agency has 24-hour two-way radio capability between the Communication Center and police officers on duty in the field. Discussion: None Proof of Compliance --Observe radio communication has 24-hour capability On- Site. 9.07 Access to Criminal Justice Information Systems (V) The Agency has access to regional, state (T.C.I.C.) and federal (N.C.I.C.) information systems. Discussion: None Proof of Compliance --Observe access to systems in communication center or through another agency, On-Site. 9.08 Warrant Maintenance (V) If the agency maintains active criminal or traffic warrants, a written directive exists that describes the warrant maintenance process. If warrants are entered into regional, state, or federal databases, the agency must maintain 24 hour access to the warrant file for confirmation of active warrants. The directive includes at a minimum: a. How and where the files are maintained. b. Entry of new warrants and removal of old or inactive warrants. c. Entry and removal into any regional, state or federal database (if applicable). d. Periodic auditing of the file. 9.08 Warrant Confirmation (V) If the agency enters warrants into regional, state, or federal databases, or maintains paper warrant files, or confirms warrants for other agencies, a written directive addresses the portions of the process exercised by the candidate agency to include: a. How and where the warrant files are maintained, and how accessed, if applicable, b. Addition of new warrants and removal of old or inactive warrants from the warrant file, if applicable; c. Entry and removal into any regional, state or federal database, if applicable; d. How warrants are confirmed; if applicable; e. Periodic auditing of the original warrant file, if applicable. If the candidate agency confirms warrants for other agencies, the agency must maintain 24 hour access to the warrant file for confirmation of active warrants. Effective January 1, 2013 Required after January 1, 2014 Page 76 of 106 Discussion: If a candidate agency enters warrants into a database (local only, regional, state, or federal) that is accessible by members of that agency or any other agency, or If another entity (such as a municipal court, or records unit) enters the warrants into a database that is accessible by members of the agency or any other agency, and the candidate agency is responsible for confirming the existence of a warrant by reviewing either the original, copy, or computer entry of a warrant, then the agency must meet the parts of standard 9.08 that apply to the candidate agency. If another agency, such as a municipal court, another local agency, the County Sheriff, Justice of the Peace, or other entity enters, maintains and confirms the warrant, (and the only action on the part of the candidate agency is the original citation issuance) then the standard is NA. If another entity does entry, removal, and maintains the hard copy or computer file, and the candidate agency only confirms from the computer record, then the Candidate agency must only meet bullet a and d. If the agency only maintains a paper file of original warrants, accessible only to agency employees, the agency must meet bullets a, b, d, and e, but is not required to meet the 24 hour requirement if policy states arrests can only be made with immediate confirmation of original warrant. Proof of Compliance --Copy of Written Directive, and --Observation of warrant file, On-Site, and --Copies of audits, other documentation of proper file maintenance. Page 77 of 106 CHAPTER 10 ARRESTEE PROCESSING AND TRANSPORTATION Individuals taken into custody must be safely transported to a detention facility and held in a manner that meets constitutional standards. Proper transportation procedures also ensure the safety of officers and detentions personnel. Applicability of these standards depends on the type holding facility an agency employs. If an agency operates a holding facility where individuals are booked in, locked in a cell or holding room, and leaves the prisoner alone for any period of time; the agency must comply with all standards in this chapter. Note: an interrogation room where an officer is always present would not be considered a holding facility unless the officer leaves the building. If an Agency does not have a locking holding facility, where prisoners are booked in and kept without constant supervision, and instead uses another agency facility (such as the County Sheriff), they may show most of Chapter 10 as “NA” (Not Applicable), IF the holding facility used is subject to the Texas State Jail Standards Act. If the agency used by the Candidate Agency to hold prisoners is not subject to the Texas State Jail Standards Act, the agency must comply with all of Chapter 10. Standards Applicable to All Agencies: Standards 10.01, 10.02, and 10.03 still apply to the Candidate Agency. Standard 10.10 still applies to the Candidate Agency to the extent that the prisoner’s property is cared for until released to the holding agency. Standard 10.12 still applies to the Candidate Agency to the extent that officers are instructed on how and when to obtain medical aid for a prisoner prior to release to the holding agency. If the agency authorizes strip or body cavity searches before reaching the jail, the agency must comply with 10.14 and 10.15. Standard 10.22 is applicable to the agency and the agency must address the standard unless the agency can show where a receiving agency has a policy to comply with the standard. Page 78 of 106 10.01 Searching and Transport (E) The Agency has a written directive addressing searching and transporting adult prisoners. The written directive includes at a minimum: a. That all adult arrested persons be searched before any transport. b. The approved methods of how to safely transport arrested persons. c. Methods or actions for transporting sick, injured, or disabled arrested persons. d. Search of the transporting vehicle before and after the transport. e. The proper use of any restraining devices. f. Monitoring of the prisoner to avoid medical difficulties. Training of agency personnel in searching and transportation of prisoners is also required. Discussion: Policy must require search of transport vehicle before and after transport even it vehicle is searched at the beginning of shift or after last prisoner. Policy must require constant monitoring of prisoner for medical difficulties. Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll- call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. 10.02 Juveniles – Arrest, Detention, and Transportation (E) The Agency has a written directive regarding the arrest, detention and transportation of juveniles. The written directive includes: a. The rights of arrested juveniles. b. The searching of juveniles. c. The methods of transporting juveniles to detention. d. The use of restraints and monitoring of the prisoner. e. Approved methods and locations of detention. f. The development, control, and separate storage of juvenile files. Discussion: Juvenile files should be kept separate from adult files as required by the Texas Family Code. This can be accomplished by filing them in a separate file cabinet or drawer or on a separate shelf. All files (including juvenile files) must be kept secure. The requirement that records be kept secure includes being secured from unauthorized access by agency employees. This requires the records to be kept in locked cabinets or rooms with only limited access by designated individuals. Page 79 of 106 Agency directives should cover rights of juveniles, when authorized to arrest, detention, searching, and transporting juveniles as well. Proof of Compliance --Copy of written directive(s) addressing all requirements, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. 10.03 Approval of Juvenile Holding Area (V) The Agency has written approval from a juvenile court judge, or juvenile board as provided for in the Texas Family code, for the holding and processing area for juvenile arrest, if used. Discussion: None Proof of Compliance --Copy of written approval from juvenile court judge or Juvenile Board, and --Copy of juvenile holding log showing time held, and --Observe holding area for appropriate separation from adult processing, On-Site. 10.04 Separation of Prisoners (V) The Agency provides for the cell separation of male and female prisoners. The Agency also provides sight and sound separation between arrested adults and juveniles. Discussion: None Proof of Compliance --Observe sight and sound separation for between adult prisoners and juveniles, On-Site, and --Copy of directive requiring separation of male and female prisoners, if any. 10.05 Jail Cells (V) The Agency has a written directive to instruct personnel on the operation of jail area and cells. Discussion: The agency written directive should instruct employees how prisoners are to be brought into the facility, processed in, and housed. Specific information regarding how cells are to be operated (mechanical) and the placement of prisoners into certain cells should also be covered as well as any prisoner classification and protection system in place. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observe operation of Jail area/cells, On-Site. Page 80 of 106 10.06 Access to the Jail Cell Area (V) The Agency has a written directive to control access of non-essential persons to the Jail area. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observe access control procedures, On-Site. 10.07 Visitors (V) The Agency has written directive for prisoner visitations, including procedures for attorneys. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observe area and process for attorney/client visits, On-Site. 10.08 Fire Protection for Jail Cell Area (V) The Agency has a fire protection plan for the Jail cell area. At a minimum the plan should include having fire detection devices and fire extinguishers available for immediate use. Discussion: A minimum of at least two fire detection devices and at least two properly charged and inspected fire extinguishers are required. The fire detection devices should be able to alert on duty staff without relying on prisoner intervention. Proof of Compliance --Observe fire detection devices, and --Observe existence of fire extinguishers (at least two) or other fire suppression System, and --Observe fire suppression equipment inspection is current. 10.09 Evacuation Plan for Jail Cell Area (V) The Agency has a fire evacuation diagram posted in the Jail cell area. Discussion: This standard requires a diagram showing emergency fire exits be posted in the jail area for easy access and understanding. Page 81 of 106 Proof of Compliance --Observe plan is posted and visible to personnel 10.10 Prisoner’s Property Release (V) The Agency has a written directive to secure a prisoner’s property and return the property to the prisoner upon release, or if transferred, the prisoner’s property may be released to the receiving agency. Discussion: If agency does not have a jail, the agency must still have written directive regarding handling of prisoner’s property from time of arrest until turning over prisoner to holding agency. Prisoner’s property should be secured from access by unauthorized individuals who might be present in the jail, such as other prisoners, cleaning personnel, and visitors. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observe security procedures for prisoner’s property, On-Site, and --Observe secure location for prisoner’s property, On-Site. 10.11 Prisoner Identification Procedure (V) The Agency has a written directive requiring verification of the identity of any prisoner prior to release or transfer. Discussion: Most agencies require comparison of intake and release photographs or fingerprints. Agencies should not relay of the verbal responses of prisoners nor the use of wrist bands which could be swapped between prisoners. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observation of intake and outtake procedures and documentation, On-Site, and --Observation of identification verification procedures, On-Site. 10.12 Medical Assistance for Prisoners (V) The Agency has written directive instructing personnel how to obtain medical assistance for ill or injured prisoners. Discussion: If agency does not have jail, the agency must still have a directive outlining how to obtain medical attention for a prisoner prior to delivery to the holding agency. Page 82 of 106 Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of any injured prisoner reports, and --Interview staff regarding how to summon aid, On-Site. 10.13 Medication for Prisoners (V) The Agency has a written directive for prisoner medication if kept on site. The directive includes providing for proper storage, security, and distribution of the medication. Discussion: Proper storage and security of prisoner’s medications should include keeping medications secure from unauthorized individuals and the proper storage of medications such as those requiring refrigeration. Responsibility for distribution of required medications must also be addressed. The directive should also cover how to document the dispensing of any medications. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observation of documentation for medication dispersal to prisoners, On-Site, and --Observe storage of medication, On-Site. 10.14 Strip Searches (E) The Agency has a written directive regarding the strip searches of arrested persons that requires supervisory approval of each search. Personnel of the same sex as the arrested person will conduct these searches. Discussion: If the agency does not have a jail, the agency should have a written directive either prohibiting agency personnel from conducting a strip search or provides direction on process of conducting search prior to delivery of subject to the holding facility. Strip searches should never be conducted in the field but only in a controlled environment, with supervisory approval of each search, and conducted by persons of the same sex. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of any supervisory approved searches, and --Interview personnel on Strip Search procedures and location, On-Site. Page 83 of 106 10.15 Body Cavity Searches (E) The Agency has a written directive regarding the body cavity searches of arrested persons that requires supervisory approval of each search. These searches are more involved than a strip search and will be conducted by medically trained personnel. Discussion: If the agency does not have a jail, the agency should have a written directive either prohibiting agency personnel from conducting a body cavity search or provides direction on process of conducting search prior to delivery of subject to the holding facility. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of any supervisory approved searches, and --Interview personnel on Body Cavity Search procedures and location, On-Site. 10.16 Jail Cell Area Key Control (V) The agency has a written directive for controlling access to keys for securing the Jail cells and book-in area. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observation of key control access, On-Site. 10.17 Prisoner Escapes (E) The Agency has a written directive for a procedure if a prisoner escapes from custody within the jail area. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. Page 84 of 106 10.18 Jail Cell Area Inspection (V) The Agency requires a documented physical inspection of the Jail cell area at the beginning of each shift, and requires a search of each cell prior to a prisoner being placed in the cell. The inspection is to determine any security or sanitation concerns, and locate any contraband in the Jail cell area. Discussion: The agency must have a method of documenting an inspection of the Jail cell area at the beginning of each shift checking for sanitation issues and contraband. Cells must also be checked prior to placing a prisoner in a cell (if the cell is unoccupied). It does not require the removal of prisoners from a cell and search of the cell when an additional prisoner is being placed into a cell containing other prisoners. For safety, agencies should have policies where cells that are occupied by multiple prisoners for long periods of time are periodically cleared and searched for weapons or contraband. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Review inspection documentation, On-Site, and --Observe conduct of inspections, on-Site. 10.19 Minimum Standards for Jail Cell Area (V) 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. Discussion: Holding facilities are allowed to have limited number of “special purpose” cells which may not have water or toilet facilities for combative or inebriated prisoners that are designed to protect the prisoner from harm. Prisoners placed in these cells however, meet the requirement for observation at a minimum of every 30 minutes. All other cells must be equipped with water and toilet facilities. Three meals a day must be served although the content of the meals is up to the agency. Proof of Compliance --Observe access to water and toilet facilities, On-Site, and --Observe access to food, if applicable, On-Site, and --Interview staff or prisoners regarding access to necessities, on-Site. 10.20 Visual Observation of Prisoners (V) The Agency requires that agency personnel should visually observe prisoners every 30 minutes as workloads allow but not to exceed one hour. The observation must be documented and can be in person or by a monitored camera system. Documented observations of prisoners who may be considered security risks, suicidal, experiencing unusual behavior, or other causes for concern by agency staff will occur every 30 minutes. Page 85 of 106 Discussion: Prisoner checks must be documented in some manner that shows proper interval checks. Proof of Compliance --Observation of prisoner checks conducted at least every hour, On-Site, and --Review documentation of prisoner checks, On-Site, and --Observation of prisoner checks on prisoners causing concern every 30 minutes, On-Site. 10.21 Weapons in the Jail Cell Area (V) The Agency does not permit firearms to be carried into the Jail cell area. Some less than lethal weapons, such as pepper spray, may be carried in the area if authorized in a written directive by the Agency. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observe approved weapon storage lockers, On-Site, and --Verify if any less than lethal weapons are authorized in writing, On-Site. 10.22 Consular Notifications (E) The Agency has a written directive which requires appropriate consular notification after the arrest of any foreign national. Discussion: Required by United States Treaty. If another agency is responsible for this notification, the Candidate Agency may not be responsible and may show this standard as NA. Candidate Agency should show proof other receiving agency has policy or practice to comply. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Copy of arrest document showing individual advised of right or actual consular contact. Page 86 of 106 CHAPTER 11 COURT SECURITY Those agencies that provide security for the courts within our judicial system must ensure they are safe to protect the integrity of the criminal justice system. Security systems should be designed to protect not only the physical facilities but all participants in the court proceedings. 11.01 Courthouse/Courtroom Security (V) 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. Discussion: Directions from the local judicial authority regarding the presence of weapons and use of restraints in the courtroom is required as part of this training. Compliance with this requirement can often be shown by a letter from the local Judge regarding these issues in their court. Minimum Training Level 2. While a higher level of training is always encouraged, the training portion of this standard may be met by showing that officers have received Roll-call Training or a formal Training Bulletin, watched a video, received a copy of a policy which was discussed with or by a Supervisor, or received a copy of a policy and been tested over its content. Proof of Compliance --Copy of training plan or written directive, and --Copy of instructions from Judge regarding weapons and restraints, and --Observations of security measures in courtroom/courthouse, On-Site, and --Observe secured weapon storage area (if required), and --Observe any special equipment available (magnetometer, special restraints). 11.02 External Communications (V) If the Agency provides security for a Courthouse/courtroom, at least one means of external communication is available to a member of the court staff for emergency situations. Discussion: None Proof of Compliance --Observation and testing of at least one means of external communications, On-Site. Page 87 of 106 11.03 Fire Evacuation Plan (V) If the Agency provides security for a Courthouse/courtroom, the Agency has a fire evacuation plan for the Courthouse/Courtroom that is reviewed with Court employees at least annually. Discussion: Proof of compliance with this standard is shown by providing a sign-off sheet where court employees have reviewed the fire evacuation plan for the courtroom. Proof of Compliance --Observe copy of fire evacuation plan, On-Site, and --Observe that plan is reviewed at least annually with Court staff, or --Copy of sign-off sheet for Court employee review of plan. Page 88 of 106 CHAPTER 12 PROPERTY AND EVIDENCE MANAGEMENT The proper collection and preservation of evidence is crucial to the accomplishment of any law enforcement mission. Presentation of reliable evidence in court is required for successful prosecution of criminal defendants. The property control function of a department must be beyond reproach and frequent audits, inspections, and inventories are necessary to ensure these high standards are met. 12.01 Property and Evidence – Chain of Custody (V) The Agency has a written directive for taking property/evidence into custody, including assets seized for forfeiture, to insure proper inventory, storage, and chain of custody. Discussion: This written directive should cover the entire Property and Evidence process. It needs to include clear definitions of the types of property and evidence and how it is taken into custody. The directive should also cover security of the actual property room, marking property for identification, the submission process, chain of custody process, intake process by the custodian, packaging and storage procedures, property sign-out procedures for court or laboratory exams, disposal guidelines as well as required inspections and inventories. If asset forfeiture property or evidence is handled differently in the property room than other items, the procedures for that process should be detailed in the directive. Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers, and --Observation of property and evidence is properly stored, On-Site, and --Observation of proper chain of custody for evidence, On-Site. 12.02 Access to Crime Scene Technicians (EV) The Agency has on staff, or has access to, trained crime scene technicians to assist with major crime investigations when necessary. Discussion: None Proof of Compliance --Copy of training records of investigators, and --Copy of on-call list from dispatch for crime scene staff or agencies to call, and --Copy of offense report where technicians were called out. Page 89 of 106 12.03 Property/Evidence Submission (E) The Agency has a written directive that requires all property/evidence seized by agency personnel to be submitted to the property/evidence technician or placed in the property/evidence area by the end of their tour of duty. Employees shall not personally retain property or evidence, except as part of an authorized chain of custody. Discussion: None Proof of Compliance --Copy of written directive, and --Proof of training of officers in policy, or --Proof of receipt of copy of policy by officers. 12.04 Property/Evidence Storage Area Security (V) The Agency authorizes by written directive, personnel who can enter the Property/Evidence storage area. The Property and Evidence storage area will be secure and access will be restricted for any unauthorized personnel unless they are escorted, and sign in and out on an access log or other type of tracking system. Discussion: The Property Room must be secure. While we would encourage solid walls and alarm systems, these are sometimes not possible and therefore are not “required” under most circumstances. Property rooms should have a minimum level of security including at least sheetrock walls. Walls must extend up above false ceilings. Drop ceilings can be a problem. Walls should extend above false ceilings to the top of the building or next floor preventing easy crawl over entry. If walls extend only up to a false ceiling, agencies may extend the wall to the next floor or roof with sheetrock, plywood, masonry, or in some cases chain link fence material installed so it cannot be removed easily. Solid walls are preferable (wood or masonry) but sheetrock and chain link will show immediate evidence of unauthorized entry. Doors should be solid core if possible. Hinges should be on the inside of the room so that the door could not easily be removed. Locks should be good quality (not punch the button bathroom door locks that can be opened with a small screwdriver.) Deadbolts are also encouraged. Keys should be controlled by the property custodian only. An extra key can be maintained by a departmental supervisor. A key should not be hanging up in the detail room allowing anyone access. If the property room is in a separate building that is not staffed 24 hours, it should be alarmed with the alarm reporting to dispatch. Access to the property room should be restricted to Property personnel only. All other personnel should sign in and out on a log or other tracking system. Although not required, other things to improve property room security include alarm systems, video monitoring, and separate locked storage areas for Guns, Drugs, and Money inside the Property Room. Page 90 of 106 The directive should include that the area is restricted for unauthorized personnel unless escorted by authorized personnel and must sign in and out on an access log or other tracking system. Proof of Compliance --Copy of written directive showing who is authorized entry, and --Observation of access logs or tracking system, On-Site, and --Observation of security of the storage area, On-Site. 12.05 Disposal of Property/Evidence (V) The Agency has a written directive for the documentation of the disposal of property/evidence stored in the Agency property/evidence storage area. Discussion: No specific disposal schedule is required. However, documentation of the process used for all disposals, and records of disposed items is required if done. Proof of Compliance --Copy of written directive, and --Interview staff on disposal process, On-Site, and --Review documentation of disposals, on-Site. 12.06 Field Release of Property (E) The Agency has a written directive for the release of property or evidence in the field. The policy should detail when and how 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. Discussion: The Property Release Form is a document that is retained as proof that the officer released the property. The form can be a multi-purpose form, combining a property release form, a property intake form, and chain of custody form. Agencies may use a paper form with a signature of the owner required, or may use other electronic means of proving receipt such as a signature capture device on a hand held ticket writer, or a audio or video recording of the release. If audio recording only is used, there must be a requirement that the officer identify the person receiving the property and the person’s acknowledgement clearly recorded. Proof of Compliance --Copy of written directive, and --Copies of Releases documented on an appropriate form. Page 91 of 106 12.07 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. Discussion: The Property and Evidence Custodian should not “inspect” their own operation. Inspections should be done by supervisors or other personnel not involved in the operation of the Property Room. The inspection must include review of the actual department policies and procedures relating to Property and Evidence and whether these procedures are being followed – such as is the Property and Evidence room secure, is the sign-in log being utilized, is property being submitted properly, is the property being logged in and stored properly, is the property being processed for disposal properly as well as whether the property room is clean and orderly. A small sample of items (3-5) should be identified and tracked to determine if they were properly enter and stored. This inspection report should be forwarded to the Agency Director for review. The Agency Director should sign and date the report to show proof of receipt and review. Proof of Compliance --Copy of written directive, and --Copy of documentation of inspections. 12.08 Inventory of Property/Evidence (EV) 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. Discussion: While a complete inventory of all the items stored in the property room is always preferable, the standard allows for sampling to accomplish this standard. Many agencies have a great deal of property in their property room and do not have the resources to conduct a “complete” inventory annually. Two sampling methods are provided and either may be used by an agency depending on the method determined best for that agency. The inventory should be conducted by personnel not routinely assigned in the unit but familiar with its operation. A formal report of the findings should be forwarded to the Chief of Police. An investigation should be conducted to resolve any discrepancies. Should significant discrepancies be discovered, the Chief of Police may require a complete inventory. Obviously, when conducting an inventory, in addition to the item being present, the agency should examine the item for tampering or missing items, and any discrepancy reported. Page 92 of 106 The Agency Director should sign and date the Inventory to show proof of receipt and review. Proof of Compliance --Copy of written directive, and --Copy of inventories or sampling within past year, and --On-Site, Conduct a review of a small sample of items to determine items are stored properly and paperwork for those items has been properly filed. Page 93 of 106 APPENDIX A Inventory Sampling Methods Agencies should strive for 100% accountability in the maintenance of all property and evidence in their custody. Agencies without bar-coding or other technological assistance find it difficult to conduct a 100% inventory. Either of the two sampling methods below will meet the requirements of 12.08. The method used should be explained on the Document Submission Form. Sampling Method 1: A complete inventory of all critical items (Guns, Drugs, and Money) in the Property Room and a random sample of 5% of the total number of items or 50 items, whichever is less, of the remaining items in the property room. The inventory should be conducted by locating the intake paperwork for all the Guns, Drugs, and Money, then locating the items in the property room. The audit of the other items should be done in two parts. The first part is done by randomly selecting the paperwork for 25 items and locating them in the property room. The second part would consist of randomly selecting 25 items from the property room and locating the item’s paperwork to test the record keeping system. This system of sampling will benefit smaller agencies that have smaller numbers of critical items in their property and evidence rooms. Sampling Method 2: Sampling method 2 relies on a mathematical sampling formula which produces a 95 percent confidence level with a confidence interval of +/- 3 percent. This inventory is conducted on all items. Obviously, the agency will want to resolve any discrepancies discovered by an inventory, but an error rate of greater than 4 percent would indicate that a complete inventory of critical items is needed. This sampling methodology requires a random sample to be accurate and the agency must be able to describe or show how the random sample was determined. In order to determine the sample size, the agency must also know the approximate number of total items in the property room, and then consult the table below to determine the number of items required to be located and examined. Once a random sampling method is determined, no deviation is permitted. The agency must show that it adhered to the sampling methodology selected. Creating a random sample can be as easy as locating a random number table in a mathematics text book or on-line and using the last digits of the number that matches your agencies property numbers and use that table in order until the total number of samples has been reached. It can also be done by dividing the number to be sampled into the total number of items, ie (Total items 15,000, sample required 996, 15000/996=15.06) and Page 94 of 106 APPENDIX A Continued selecting every 15th item on a list of all Money, Guns, and Drugs which would produce the proper number of sample items. Agencies that choose to use this method regularly might consider having their computer staff write a specific program for the development of a random audit list. This sampling method would benefit larger agencies with a large number of critical items. Total Number of Critical Items (Money, Guns, and Drugs) Minimum Required Sample Size 100 92 200 169 300 234 400 291 500 341 750 441 1000 516 1250 576 1500 624 1750 663 2000 696 2250 724 2500 748 2750 769 3000 787 3500 818 4000 843 4500 863 5000 880 6000 906 7000 926 8000 942 9000 959 10000 964 12500 983 15000 996 20000 1013 25000 1023 50000 1045 100000 1056 Page 95 of 106 APPENDIX B Required Training Matrix The below is a description of the types of training in each Minimum Training Level. This matrix was developed to assist agencies in determining what level of training is required for each standard. Each standard that requires training as part of the standard has the minimum level of training stated in the Discussion section. This level of training or a higher level is required for compliance with these standards if the agency has their on-site final review after January 2012. Until then agencies may continue to determine what level of training they are able to provide. The matrix is provided only for reference and to allow agencies to understand what types of training is in each level. Level Description of Minimum Level of Training Type of Proof Needed 1 Proof of Receipt of a Copy of Policy A sign off sheet or electronic document showing officers have received a copy of the policy. 2 Roll-call Training, Training Bulletin Distribution, Video, copy of Policy with discussion by/with Supervisor, or copy of Policy with testing. Sign-off sheet showing where officers received Roll-call Training by an Officer or Supervisor, or received a Training Bulletin addressing the Policy, or receiving training by Video. May also be shown by showing receipt of Copy of Policy with further discussion with/by a Supervisor or by follow-up testing on the Policy. A memo from the supervisor stating it was discussed or a signoff sheet where Discussion is also clearly noted will be accepted. 3 Specific Topic Training by an instructor or online course with topic clearly indicated in a class schedule, course syllabus, lesson plan, or power point, TCLEOSE on-line course, or specific TCLEDDS entry. (Can be classroom, seminar, or on-line) Proof of some form of formal training by an instructor, or specific topic training at a school, seminar, or class; clearly showing the topic of training, such as a class schedule, syllabus, lesson plan, power point, completion certificate, or other documentation. Computer based learning programs may also be used. Proofs will be sign-in sheets, completion certificates, or TCLEDDS entry. 4 Proof of Specific Physical Skills training Sign-in sheets or records showing attendance and completion of proficiency testing, such as firearms qualification records, proficiency testing for less-lethal weapons and physical arrest or self defense classes. FTO Training Proof of FTO training (specific topic clearly identified) FTO Training cannot be used alone to prove compliance with training during Initial Recognition as it does not prove training of all existing personnel. FTO Training can be used in Re-Recognition Compliance Files to show continuing training of new staff members if the details of what needs to be mastered is contained in field training documents. Page 96 of 106 APPENDIX B Continued Minimum Training Standards by Standard Number Standard Number Minimum Training Level Comments 2.01 2 Proof of training at least once for each officer. No Minimum hours. 2.11 3 Proof of attendance by employees to a training program. No Minimum hours. 2.12 1 Proof of receipt of policy. 3.01 4 Proof of most recent qualification and any remedial training completed. 3.02 2 & 4 Proof of receipt of Copy of Policy and discussion with supervisor, or specific classroom training in Deadly Force Policy and proof of training in use of firearms (can be qualification or other training.) No Minimum hours. 3.04 3 & 4 Proof of specific training and proof of proficiency. Proof of Proficiency can be memo from instructor, form signed by instructor as passing, or other document which shows proof of demonstration of proficiency. 3.06 3 & 4 Proof of officers receiving at least 40 hours of in-service training within last 24 month training cycle (TCLEDDS record OK) and proof of training in physical Arrest and Self Defense training during last 24 month training period. 3.07 3 & 4 Proof of reserve officers receiving the state required 40 hours of in- service training within last 24 month training cycle (TCLEDDS record OK) and proof of training in physical Arrest and Self Defense training during last 24 month training period if the Reserves perform field duties. 3.08 3 For each non-sworn position requiring training, proof of that training for at least one person in that position. 3.09 3 Proof of training for position promoted to. 3.10 3 Proof of initial Basic ERT Training prior to active participation in ERT operations and that continuing ERT training is performed to level stated in directives. 3.11 3 Proof of Basic Hostage Negotiator School prior to any negotiation and proof of continuing training as required by policy 3.13 3 Proof of FTO school completion, minimum of 24 hours. 3.17 3 or Bkgrnd Outline or Manual Training requires attendance to Background Investigations school or copy of detailed instructions (manual) for completing background investigations. 3.18 3 and 1 Copy of Basic Tele-communicators course and proof of receipt of department policy manual or instructions in departmental operations. 3.19 3 Proof of attendance to Basic Police Chief Training or Police Chief Leadership series. Page 97 of 106 4.09 3 Proof that supervisors have received training. Sign in sheet and some indication of course content. 4.10 2 Proof of some form of safety training at least level 2. 5.01 3 Proof that records Manager has attended Records Management or Public Information Act course. 5.03 1 Receipt of Copy of detailed policy. 5.04 3 Proof that assigned PIO has attended some training on Media Relations. 7.02 2 Proof that agency has trained all sworn officer in how to obtain and serve arrest warrants. 7.03 2 Proof of training all sworn officers in Arrests without Warrant 7.04 2 Proof of training in Miranda 7.05 3 Proof of training of at least Investigators in Interrogations. 7.08 1 Proof of training or receipt of detailed policy if one is issued. 7.09 2 Proof of training in "Preliminary Investigations" 7.10 2 Proof of training of Investigators or detectives. 7.13 2 Proof of Receipt of Policy with discussion with Supervisor for understanding. 7.18 2 Receipt of Copy of detailed policy. 7.19 2 Proof of training on specific system used. 7.32 2 Proof of Receipt of Policy with discussion with Supervisor for understanding by Investigators or Detectives. 8.07 2 Proof of training of at least all supervisors. 8.11 3 Proof that officers have completed required courses, TCCLEDD entry or copies of Certificates 10.01 2 Proof of training in searching and transport 11.01 2 Personnel assigned in court must be trained by supervisor or other staff in security operations including proof of instruction in carrying weapons and use of restraints in court. Attendance of a Bailiff course by Municipal Court Association is sufficient if it shows training for all parts of the standard. Otherwise a letter from the court may be supplemented on the carrying of weapons and restraints usage inside the courtroom. Page 98 of 106 Program Glossary ADMINISTRATIVE REVIEW: A documented review of an incident or occurrence prepared by or for the Police Chief or designee. The review should indicate whether policy, training, equipment, or disciplinary issues should be addressed. The review could also involve more than one incident. ANNUAL: An event that occurs at least once every 12 months. APPEAL: An application (as to a recognized authority) for corroboration, vindication, or decision in a disciplinary action or other appealable action as defined by the agency. ARREST: The act of depriving a person of his/her liberty by legal authority, with or without a warrant including the authority to physically remove a person from their location and taking the person to a place of confinement or judicial authority. AUXILIARY MEMBER: A uniformed or non uniformed civilian who contributes to the mission of the Agency in a support capacity and is in non-paid status. Included are law enforcement cadets, explorers, senior citizen groups or other volunteer groups. BARRICADED PERSON: An individual who resists being taken into custody by using, or threatening to use, firearms, other weapons, explosives, etc. A barricaded person is normally behind some form of cover and may or may not have taken a hostage or made threats to his/her own life. BEST BUSINESS PRACTICE: A recognized and necessary professional requirement setting criteria for a specific process, function, service or procedure for law enforcement agency compliance. BIANNUALLY: Occurring twice a year. BIAS BASED PROFILING: The selection of an individual based solely on a trait common to a group for enforcement action. This includes, but is not limited to: race, ethnic background, gender, sexual orientation, religion, economic status, age, cultural group, or any other identifiable group. BIENNIALLY: Occurring every two years. BIMONTHLY: Page 99 of 106 Occurring once every two months. BODY CAVITY Consists of the anus, female vagina, and any part of the esophageal cavity or stomach other than the portions of the mouth normally visible by opening the mouth. CANDIDATE AGENCY: An Agency that has made application to the Texas Police Chiefs Association Best Practices Recognition Program. CIVILIAN MEMBER: A full or part-time person who is not a sworn law enforcement officer and does not possess arrest powers. CHAIN OF COMMAND: Formal upward or downward progression through the command structure based on rank and direct authority within the organization. CHAIN OF EVIDENCE: Continuity of custody serving to ensure that material items introduced into the court are the same material or items originally collected as physical evidence. CHIEF EXECUTIVE OFFICER: The duly authorized top administrator of the law enforcement agency and is the highest-ranking executive for the law enforcement agency who possesses ultimate command authority for the operation of the agency. CITATION: Written notice to appear issued to an accused person, in connection with a traffic enforcement action or other class C misdemeanor charge, to appear before a court of law. CODE OF CONDUCT: Specific guidelines for behavior and dress, including prohibitions. CODE OF ETHICS: Principals of conduct or moral values that govern individual or group behavior; the Agency’s guiding philosophy. COMMAND PROTOCOL: Plan/policy established to ensure a continuation of supervision at all levels of the chain of command when vacancies or absence from duty exists. COMPLAINT: An allegation of misconduct, malfeasance, violation of law or Agency directives, against any member of the Agency, or against the Agency. This does not include a complainant’s disagreement with the application of law that is properly decided in a court of law. CONCLUSIONS OF FACT: Page 100 of 106 Final determination about allegations based on investigative activities. Classifications of investigative findings may include exonerated, sustained, not sustained, unfounded, and policy failure. CRIMINAL HISTORIES: A transcript of arrests for an individual usually identified by name, date of birth, or identification number. CRISES INTERVENTION: Assistance and support services offered to victims, survivors, and/or first responders of violent crimes or other serious incidents CURRICULUM: A series of courses related to a specific kind of training program. DEADLY FORCE: Force that is likely to cause death or great bodily harm and includes, but is not limited to: the firing of a firearm in the direction of the person to be arrested, even though no intent exists to kill or inflict great bodily harm; and the firing of a firearm at a vehicle in which the person to be arrested is riding. The terms deadly force and lethal force are considered synonymous. DIRECTIVE: A written document used to guide or control the actions of members and establish Agency policy and practices. Examples of written directives include, but are not limited to: policy statements, standard operating procedures, general orders, memoranda, laws, or written orders. EMERGENCY SITUATION: An actual or potential condition that poses an immediate threat to life or property. EMOTIONAL STABILITY/PSYCHOLOGICAL FITNESS EXAMINATION: Professional screening designed to identify behavior patterns and/or personality traits that may prove either detrimental or advantageous to successful job performance. EQUAL EMPLOYMENT OPPORTUNITY: The providing of equal opportunities for employment and conditions of employment to all members regardless of race, creed, color, age, sex, religion, national origin, marital status, or physical impairment. EVALUATORS REVIEW: The minimum requirements needed for any standard to be accepted. Evaluators Reviews are used by Program Coordinators and Final Review Team Members to ensure equal treatment of Candidate Agencies and are located on the bottom of each standard’s Document Submission Form. E VIDENCE: Materials or items discovered or retrieved from a crime scene or other law enforcement incident. FIELD INTERVIEW: Page 101 of 106 The stopping and questioning of a person by a law enforcement officer because there is reasonable suspicion that the subject may have committed, may be committing, or may be about to commit a crime; believes the subject may be a hazard; or believes the interview may have a preventive effect. FIELD TRAINING PROGRAM: A structured and closely supervised program provided for recruit members to facilitate the application of skills and knowledge obtained in the academy/classroom to actual performance in on-the-job situations. FIELD TRAINING OFFICER: A commissioned officer selected by the Agency leadership to train recruit officers in Agency policy, procedures, rules, regulations, practices, and other subjects or duties as determined by the Agency. FUNCTION: A general term for the required or expected activity of a person or an organizational component, e.g., patrol function, communication function. GRIEVANCE: Formal request in writing to resolve differences in identified matters due to an actual or supposed circumstance regarded as just cause for protest. GUIDELINES: Statements, past practices, or other indications of policy or procedure, used to determine a course of action. HOLDING AREA: Any locked area, space, or enclosure where a prisoner/detainee is placed to prohibit freedom of movement. INCIDENT COMMAND SYSTEM: Command, control, and coordination of a response to organize the efforts of members and agencies as they work toward stabilizing an incident while protecting life, property, and the environment. There are five major components: command, planning, operations, logistics, and finance / administration. IN-SERVICE TRAINING: Training received by Agency members to enhance knowledge, skills, or abilities. This includes formal retraining, specialized, promotional, or advanced training. In-service training may also include less formal types of instruction, such as roll-call training. INSPECTION: A comparison of an individual or an organizational component against established standards, such as policies, procedures, practices or expected behaviors. Page 102 of 106 Organizational component inspections are commonly referred to as staff inspections and encompass a full-scale review of the current operations of a unit or section of the Agency. It can also include all aspects of administration, personnel policies, directives, equipment, and facilities. INTERNAL AFFAIRS INVESTIGATION: A formal, detailed investigation of alleged misconduct, violation of law or Agency directives. INVENTORY: A survey of items designed to create a detailed list of articles or property. This includes (1) processes such as those utilized within the Agency and can be part of an audit or inspection; and (2) processes utilized by the Agency after the Agency assumes control over a person’s property where such processes are designed to protect the citizen’s property and the Agency from allegation of misconduct. JOB DESCRIPTION: An official written statement setting forth the duties and responsibilities of a job, and the skills, knowledge, and abilities necessary to perform it. JOB-RELATED: Pertaining to tasks performed or functions required of a specific job classification. LESS-LETHAL FORCE: Force which is not likely to cause death or great bodily harm. The terms non-deadly force, less-than-lethal force and less-lethal force, may be considered synonymous. LESSON PLAN: A detailed format an instructor uses to conduct the course. A lesson plan may include: goals, specific subject matter, performance objectives, references, resources, and method of evaluating or testing students. LETHAL FORCE: See Deadly Force. LIFE CYCLE MANAGEMENT: The documented management process of the life of a document created in the ordinary operation of a police department, to include the storage, length of retention and destruction process. Normally contained in the Records Retention Schedule of a City Government but parts not covered in the City Records Retention Plan are developed and maintained in Departmental Directives. MEDICAL CARE FACILITY: Any hospital, office, mobile unit or other facility designed or utilized to provide immediate or ongoing medical treatment. MEMBER: A generic term utilized in this manual to describe all Agency personnel, including volunteers, auxiliary officers, and part-time personnel. Page 103 of 106 MEMORANDUM: An informal, written document that may or may not convey an order; it is generally used to clarify, inform, or inquire. Memoranda may be used for proofs of compliance. MUTUAL AID: A formal agreement or legal authority among emergency responders to lend assistance across jurisdictional boundaries when required either by an emergency or disaster that exceeds local resources. This assistance includes, but is not limited to, such resources as facilities, equipment, services, supplies, and personnel. NON-DEADLY FORCE:: Force which is not likely to cause death or serious bodily harm. The terms non-deadly force, less-than-lethal force and less-lethal force are synonymous and may be used interchangeably to meet the standards in this manual. OFF-DUTY EMPLOYMENT Secondary employment, outside the agency, which may or may require the actual or potential use of law enforcement powers by an off-duty member. ORGANIZATIONAL COMPONENT: A subdivision of the Agency, such as a bureau, division, section, unit, or position that is established and staffed on a full-time basis to provide a specific function. PART-TIME SWORN MEMBER: Any sworn person employed or appointed less than full time, as defined by an employing Agency, with or without compensation, who is vested with authority to bear arms and make arrests and whose primary responsibility is the prevention and detection of crime or the enforcement of the penal, criminal, traffic, or highway laws of the state. PERSONNEL ORDERS: Official announcements of certain administrative actions involving members of an Agency that normally form a permanent file record of each member’s Agency assignments, promotions, awards, etc. PLAN: A detailed scheme, program, or method worked out beforehand for the accomplishment of an objective, proposed or tentative project, or goal. A plan may be a systematic arrangement of details, an outline, drawing or diagram. POLICY STATEMENT: A broad statement of Agency principles that provides a framework or philosophical basis for Agency procedures. PRISONER: Any person arrested and/or in custody of a law enforcement officer or Agency. PROCEDURE: A manner of proceeding, a way of performing or affecting something, an act composed of steps, a course of action, a set of established forms or methods for conducting the affairs of the Agency. Page 104 of 106 PROCESS: A series of actions, changes, or functions bringing about a result. PURSUIT: An active attempt by a law enforcement officer, operating in a law enforcement vehicle(s), to apprehend one or more occupants of another moving motor vehicle, where the driver of the fleeing vehicle is aware of the attempt and is resisting apprehension. RECRUITMENT ACTIVITIES: Any activity or event utilized in seeking potentially qualified applicants for a particular position. REMEDIAL TRAINING: Training conducted, in addition to regularly scheduled training, to correct an identified deficiency. RESTRAINING DEVICES: Equipment used to restrict the movement of a prisoner/detainee. ROADBLOCKS: Use of barricades or other devices to stop vehicle or foot traffic from proceeding on a public road or other secured site. ROLL CALL TRAINING: Short training or informational sessions held just prior to, or after, a member’s tour of duty. RULES AND REGULATIONS: Specific guidelines describing allowed and prohibited behavior, actions, or conduct. SELECTION CRITERIA: The rules, standards, or requirements used to make a judgment concerning filling a specific position. SELECTION PROCESS: The combination of elements and procedures utilized to make the final decision in filling a position. SELECTIVE TRAFFIC ENFORCEMENT: Law enforcement function designed to address a specific or recurring issue or problem at a specific location and time. Also, may be referred to as Directed Patrol SEMI-ANNUAL: Occurring or issued twice a year. SERVICE COMMUNITY: Persons within the Agency's jurisdictional responsibility. SEXUAL HARRASSMENT: Page 105 of 106 Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature, constitute sexual harassment when (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment, (2) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual, or (3) such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile, or offensive working environment. SPECIAL EVENT: An activity that results in the need for control of traffic, crowds, or crime. Special events are normally time specific, short duration events, but may be extended over a longer period of time. SPECIALIZED OPERATIONAL UNIT: A unit, designated within the agency's organizational structure, characterized by increased levels of responsibility requiring specialized training, but operating within a given employment classification; i.e., bike patrol, traffic safety, K-9, etc. SPECIAL ORDERS: A statement of policy, procedure, or other instruction issued by the Chief of Police regarding a special circumstance or event and is of a temporary nature. SPECIALIZED TRAINING: Training to enhance skills, knowledge, and abilities taught in either recruit or other in-service programs. Specialized training may address supervisory, management, and/or executive development training, or it may include technical and job specific subjects, e.g., homicide investigation, fingerprint examination, juvenile investigation, motorcycles, bicycles, SWAT, etc. STANDARD: A common term referring to a Best Business Practice. SWORN LAW ENFORCEMENT OFFICER: An employee of the agency who has the power and authority of the State of Texas, the political subdivision, and/or any other specified statutory entity to carry a weapon and exercise the powers of arrest or other law enforcement duties as specified by law or ordinance. STANDARD OPERATING PROCEDURE: A written directive which specifies how Agency activities are carried out. SWORN MEMBER: A member, as defined by statute, who is certified by TCLEOSE, possesses full law enforcement and arrest powers, and is employed either full- or part-time by a law enforcement Agency. This member may or may not be compensated. TACTICAL TEAMS: Page 106 of 106 A select group of officers who are specially trained and equipped to handle high-risk incidents, e.g., snipers, barricaded persons, hostage takers, high risk warrant service. TRAINING PLAN: A plan to train Agency personnel that could include formal classroom training or a requirement of written acknowledgement of receipt of a General Order, training bulletin or other document on a specified subject or procedure. TEMPORARY HOLDING AREA: A location within the law enforcement agency, which is used for a brief period of time to process, question, arraign, or test individuals who are in the custody or care of the law enforcement agency. These areas would only be used for a brief time until the processing is completed prior to the release of the person or until the person appears before a member of the judiciary. UNLAWFUL HARRASSMENT: Conduct that has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile, or offensive working environment. VERIFICATION: The number of directives, materials, or other items to be reviewed should be of sufficient number for the facilitator to make a reasonable judgment that the Best Practice has been met. Verification does not require that 100% of the items be reviewed. VICTIM: A person who suffers physical, financial, or emotional harm as the direct result a specified crime committed upon his or her person or property. The children, parents, or legal guardian of a homicide victim are also regarded as victims. VOLUNTEERS: Unpaid members who perform tasks which do not require law enforcement certification. WARNINGS: Notice given of impending action or danger if corrective measures are not taken. WITNESS: A person having information or evidence relevant to a crime. WORK ENVIRONMENT: Department facilities and equipment where daily activities are conducted, to include office space, patrol vehicle, interview rooms, holding areas, etc. WRITTEN DIRECTIVES: Any written document used to guide or affect the performance or conduct of Agency personnel. The term may include policies, procedures, general orders, special orders, memorandums, and instructional material. What is the Law Enforcement Agency Best Practices Recognition Program? The Law Enforcement Recognition Program is a voluntary process where police agencies in Texas prove their compliance with 164 Texas Law Enforcement Best Practices. These Best Practices were carefully developed by Texas Law Enforcement professionals to assist agencies in the efficient and effective delivery of service, the reduction of risk and the protection of individual’s rights. While similar in nature to the national accreditation program, the Best Practices Recognition Program is easier to administer, lower in cost and is designed specifically for Texas Law Enforcement. The Texas Legislature demands a great deal of professional law enforcement in Texas and the Best Practices were specifically designed to aid Texas agencies in meeting those demands and providing the best quality of service to the people of our State. Since its inception in 2006, over 50 Texas Law Enforcement Agencies have been Recognized and many more are currently in the process to become Recognized Agencies. While members of the Texas Police Chiefs Association recognizes and supports the national accreditation program, The Texas Best Practices Recognition Program has clearly become the new Gold Standard for Texas Law Enforcement! How were these Best Practices developed? A Committee of Chiefs of Police and Command level officers from across Texas assisted in the development of standards that were believed to be necessary for proper functioning of Texas law enforcement agencies. They reviewed Texas law and other State Accreditation Program standards to determine which were most appropriate. An appointed Committee of professional Police Chiefs from across the state then reviewed these standards and approved them for testing. The standards were then tested by several Texas agencies and adjusted to be both appropriate and achievable. That same Committee of nine Police Chiefs now conducts the final review of an agency’s efforts and awards “Recognized” status in addition to conducting an annual review of the Best Practices for additions and modifications. What do the Standards look like? Below are some examples of the Texas Best Practices: 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. 1.09 Sworn Personnel Basic License The Agency has a written directive which requires that personnel hold a Texas Peace Officer license before performing law enforcement duties. 2.04 Internal Investigations The Agency has a written directive on how to receive, investigate, and conclude complaints against employees. Sustained complaints must be based on facts determined during the investigation. 2.11 Sexual and Other Unlawful Harassment The Agency has a written directive that prohibits sexual or other unlawful harassment. The written directive must provide for reporting procedures that include when it is appropriate to make a report outside the chain of command or outside the Agency. The agency must provide training to all personnel. 2.14 Truthful The Agency has a written directive requiring all employees to be truthful in all official verbal and written communications and reports. Employees will be truthful in any court related testimony or agency investigations. 3.02 Use of Deadly Force Training The agency has a written directive on training its sworn personnel at least annually in the proper use of deadly force and the use of any firearm used in the course of law enforcement duties. 4.05 Off-Duty Employment The Agency has a written directive that specifies the criteria for off duty employment. The Directive must: Address who is authorized to work off duty employment. State the types of employment prohibited by the agency. Include the approval procedure for off-duty employment. 6.01 Authorization to Use Force The Agency has a written directive that authorizes designated employees to use only the level of physical force that is necessary and reasonable to achieve the desired legal objective. 6.02 Authorization of Deadly Force The Agency has a written directive that authorizes police officers to use deadly force when the officer reasonably believes that his/her life is in immediate danger of death or serious bodily injury or a third person is in immediate danger of death or serious bodily injury. 6.03 Use of Force Documentation and Review The Agency has a written directive requiring completion of a specific administrative form for this purpose only to document the use of force by agency personnel, including a review process of each incident by supervisory personnel. The form may be electronic or paper and the format will be designated by the agency. 7.13 Vehicle Pursuits The Agency has a written directive for vehicle pursuits. The written directive includes: The criteria for initiating a pursuit. The method of conducting a pursuit. The supervision of a pursuit. The criteria for terminating vehicle pursuits. The Department also trains appropriate personnel in the pursuit policy. 7.14 Pursuit Documentation The Agency has a written directive that requires a pursuit report 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. Any injury or damage. Any other significant events that occurred. An annual report of agency pursuits is prepared for the Agency Director. 8.01 Barricaded Suspect and/or Hostage Incidents The Agency has a written directive instructing personnel how to respond to a barricaded suspect or hostage incident which includes: Responding to the scene. Determining the nature of the event and securing the scene. Calling appropriate assistance and/or supervision. Evacuating or protecting bystanders. 10.01 Searching and Transport (E) That all adult arrested persons be searched before any transport. The approved methods of how to safely transport arrested persons. Methods or actions for transporting sick, injured, or disabled arrested persons. Search of the transporting vehicle before and after the transport. The proper use of any restraining devices. Monitoring of the prisoner to avoid medical difficulties. Training of agency personnel in searching and transportation of prisoners is also required. 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. Any sample should include an adequate number of items to determine the overall accountability and integrity of the inventory system. How do you get to be “Recognized?” An agency that has been awarded “Recognized” status has undertaken a careful internal review of its policies, procedures, equipment, facilities, and operations. Most agencies find that some adjustment and revisions of their policies and procedures may be necessary. The agency then submits proof of their compliance with the standards (usually electronically) to independent assessors. After an independent review of their written documents and proofs, a team of assessors is sent to the agency to review their operations and facilities, and to interview the Department’s staff. A Final Report outlining the findings is sent to the Recognition Committee. The Committee reviews the findings and votes whether or not to award “Recognized” status. How long are you “Recognized?” The “Recognized” status is awarded for a four year period. During the four year period the agency must submit an annual report and show continuing compliance with several performance related standards. These are reviewed as they are received and compliance verified. During the last year of the period the agency must prepare updated documentation on all Best Practices and another on site review is conducted. The Recognition Committee must then vote again to approve “Recognized” status for the next four years. If the agency does not submit the required annual proofs, or if there is indication received by the Committee that the agency is not in compliance during the period, the Committee may vote to remove “Recognized” status. The Texas Police Chiefs Association Foundation has contracted with an outside group to manage the recognition process and ensure integrity and accountability. All Best practices are provided to any agency Free of Charge. They are available for download at the Program Website: http://rp.tpcaf.org You do not “Register” to obtain any downloads. Just click on “Downloads,” then click on “Getting Started,” then select the current version of the Standards Manual. Download the manual to your computer and print a copy or review the standards on your computer. Unlike other programs, The Texas Police Chiefs Association does not charge for copies of any program materials. If your agency is unable to participate due to funding, you are encouraged to use the standards without joining the Program in order to make your department better. The mission of the Scenic City Certification Program is to support and recognize municipalities that implement high- quality scenic standards for public roadways and public spaces, with the long-term goal of improving the image of all cities. A program of Scenic Texas, in consultation with the Texas Municipal League, American Planning Association, Urban Land Institute, Houston Council of Engineering Companies, Houston-Galveston Area Council and Scenic America. These organizations comprise our Scenic City Certification Program Advisory Committee. Reminder: Applications due by March 31, 2013 Instructions: 1) The Scenic City application is points-based. For each criterion that applies to your city, please check the corresponding box. Please note that the following criteria are required before being named a Scenic City; applicant cities without these programs will not qualify: a) trees and landscaping along city streetscapes, such as major roadways, city streets, street medians or in parking lots b) prohibition on new off-premises signage (billboards) c) permitting process and size, placement, and quantity requirements for on-premises signage All other criteria in the application are optional, and the more of them an applicant city has, the more points toward certification will be earned. Please refer to the glossary for a definition of terms. 2) Provide clearly-stated evidence that this criterion is contained either in an ordinance or is a component of a formal city-wide program. No statements will receive points unless evidence/documentation is provided. In order to provide proper evidence, you may enter the relevant link(s) to a website containing this information – please provide the specific page where the information is found, not the home page. If link is to Municode, for example, please cite the location within your code (see sample below). If applicable, put additional documents on a CD with file names noting the applicable section. Here is an example of how to fill out the form: The dumpster area is screened on three sides using material consisting of stone, brick, block, wood or a continuous planting of evergreens. √ Scenic City Certification Program Application Form http://www.municode.com/resources/gateway.asp?pid= 10123&sid=43 see Chapter 39, Article VI, Sec 39-101 item (c) Page 3 3) Your application will be evaluated by the Scenic City Certification Program Advisory Committee. You will receive notification of your preliminary Scenic City certification status within 90 days of receipt of your application. You will then be given an opportunity to review and appeal your preliminary score. Final certification decisions are made in July. 4) Each application must be accompanied by a nonrefundable application fee of $500. Checks should be made payable to Scenic Texas. Mail to: Scenic City Certification Program Scenic Texas 3015 Richmond Ave, Ste 220 Houston TX 77098 5) The completed application and any supplemental materials must be submitted by email to: application@sceniccitycertification.org or the application materials can be sent on CD to: Scenic City Certification Program Scenic Texas 3015 Richmond Ave, Ste 220 Houston TX 77098 6) Applications for 2013 certification will be accepted starting now until March 31, 2013. Only 100 applications can be considered for certification in 2013. Please direct questions regarding the application to Anne Culver at 713-979-4374 or anne@sceniccitycertification.org. Page 4 Candidate Scenic City: _______________________________________________________________ Application submitted by (city department or organization): ________________________________________________________________________________ Contact name: ___________________________________________________________________ [All communication regarding evaluation of this application will be directed to this contact .] Title: ___________________________________________________________________________ Address: ________________________________________________________________________ City, State, Zip: __________________________________________________________________ Email address: ___________________________________________________________________ Phone: _________________________________________________________________________ City Statistics: Population: _______________________ Area in Square Miles: ______________________ Define your extra-territorial jurisdiction (ETJ): ______________________________________ Do all of your municipal ordinances and city-wide programs extend into your ETJ? ______________________________________________________________________________ Page 5 Section 1 Streetscape: protection of native and established trees, landscaping and sidewalks 1.1 Trees and landscaping along major roadways, city streets, street medians or in parking lots are required. [Mandatory requirement] 1.2 Require upkeep of landscaping to ensure viability of plants. 1.3 Landscape requirements apply to all public, private and institutional developments and must be installed in a sound manner and in accordance with accepted good planting procedures. 1.4 Landscaping and screening required to be installed as a part of project construction. Existing landscape areas to be retained shall be protected from vehicular encroachment during and after the construction phase by appropriate barriers. 1.5 Sidewalks required to be a minimum of 5 feet in width; 8 feet in transit corridors; 10 feet in downtowns and high-density areas. Sidewalks must be maintained in good condition and have pedestrian buffers with a minimum width of 2 feet. 1.6 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 6 Section 2 Parks, Trails and Public Spaces 2.1 Provide a comprehensive system of parks, greenbelts and open space that is compatible with the environment and conducive to residential neighborhoods, and meets national standards of 10 acres per 1,000 population. 2.2 Parks contain a significant number of amenities including trees, benches, playgrounds, etc which are maintained to good condition and have security features (anti-theft devices, safety for parking areas and trails, etc). 2.3 There exists a park set-aside ordinance for development. 2.4 Provide for a comprehensive and connective multi-use trail system and map. Trails are clearly marked with appropriate signage, and there are established measures for upkeep and maintenance. 2.5 The boundaries of designated open space and recreational areas are clearly delineated as public spaces with future development prohibited or designated for public use if on private property. 2.6 Any new development site must permanently set aside open space for public or private use which will not be developed. Open space may be used as community open space or preserved as green space. 2.7 The following areas are considered high priorities when designating open space: conservation buffers, high quality native trees, critical habitat areas, and high quality soil resources. 2.8 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 7 Section 3 On-premises sign ordinance 3.1 Strict limits on size, placement, and quantity of signs per business. All permanent signs require permits separate from the building permit. [Mandatory requirement – the more restrictive, the more points will be awarded] Answer individually as follows: 1.m Minimum requirement: signs require permits separate from the building permit. 1.a Strict limits on quantity of signs per business. 1.b Strict limits on size (both square footage and height), placement, and quantity of signs per side/property frontage. 3.2 Banned signage: All wind devices, roof signs and portable signs. 3.3 Restricted digital signage: All electronic changeable message (digital) signs should be banned outright or restricted to special districts within city limits. 3.4 If digital signs are allowed, clearly-stated regulations must strictly limit size, height, and brightness of such signs, and prohibit moving images and frequent rotation of fixed images on such signs. Regulations written so that signs are designed to be in context with the natural and built environment. 3.5 A mechanism exists to bring existing (grandfathered) signs into conformity with the municipality's current sign code. 3.6 A process exists to enforce removal of any sign that is significantly damaged, destroyed or abandoned. 3.7 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 8 Section 4 Off-premises signage 4.1 No permits are allowed to be issued for new outdoor general advertising off-premises signs. [Mandatory requirement] 4.2 Specific ordinance language states that existing, non-electronic billboards may NOT be modified, upgraded or in any way converted to an electronic, changeable message (digital) billboard format. 4.3 If digital billboards are allowed, clearly-stated regulations must strictly limit brightness of such signs, and prohibit moving images and frequent rotation of fixed images on such signs. 4.4 Policy prohibiting the relocation of billboards, or allowing relocation only when required by the construction of a project using public funding, provided that such relocation is restricted to a limited period of time. 4.5 Parked motor vehicles and/or trailers are not allowed to be intentionally located so as to serve as an advertising device for a use, product or service. 4.6 Moving motor vehicles and/or trailers may not be employed primarily for the purpose of displaying commercial advertising messages. Commercial advertising messages are prohibited on any vehicle if the messages are unrelated to the primary business or activity for which the vehicle is utilized; this includes but is not limited to transit vehicles and school buses. 4.7 No advertising allowed on street furniture (bus shelters, park benches, transit stations, trash receptacles, directional kiosks, etc). 4.8 Ban on posting of signs on public property. Any signs found upon any public property may be removed by the city. 4.9 Law prohibiting tree-cutting or similar clearing of vegetation on public rights-of-way to provide better view of off-premises signs. 4.10 A process exists to remove nonconforming outdoor general advertising devices (i.e. billboards) that are not on federally-funded roadways. 4.11 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 9 Section 5 Lighting standards for streetscapes and public spaces 5.1 Street lighting program that places emphasis on the selection of lighting equipment and the location of street lighting so as to provide sufficient visibility, increased safety, and improved security for pedestrians and vehicles. 5.2 Adequate illumination that meets the level-of- use standards set for the municipality is required. 5.3 Outdoor lighting program that decreases light pollution effects and preserves the nighttime visual environment. The program should minimize glare and obtrusive light by emphasizing directional lighting, limiting misdirected, excessive, or unnecessary outdoor lighting, and curtailing and reversing any degradation of the night sky. 5.4 Cost-sharing program exists between the city and power provider(s) to upgrade light fixtures. 5.5 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 10 Section 6 Landscaping in parking lots 6.1 Incorporate appropriately-scaled, well-graded and planted earth berms, shrubs, or other landscaping on parking area perimeters to screen the parking area from streets and other facilities. 6.2 Require that planted islands have curbs. 6.3 Integrate groundcovers and small shrubs at island ends to add interest while maintaining visibility of pedestrians and vehicles; minimize the use of medium to tall shrubs on internal islands. 6.4 If paving around a tree is required, use porous pavements such as cast-in-place, monolithic turf and concrete combinations over specimen tree roots to allow water and air exchange. 6.5 Require that regionally native, drought-tolerant and extreme temperature-tolerant species are used whenever possible. Ensure that plants installed in or around parking areas receive proper irrigation to encourage deep root growth. 6.6 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 11 Section 7 Protection of landscaping during construction activities 7.1 Require that protective barricades are installed around all protected trees and grand trees prior to any construction activities on a development site. 7.2 Barricades are to be installed a minimum of 10 feet from a protected tree or at the designated protective root zone. 7.3 Materials used for protective barricades shall be made of wood, fencing or solid material. 7.4 Vertical barricades no less than 3 feet in height and no more than 6 feet apart. Horizontal members consisting of wood no less than 3 feet above existing grade and securely attached to the vertical members. 7.5 Protective barricades removed only to prepare the development site for final landscaping activities. 7.6 No parking or storing of vehicles, equipment or materials allowed within the protective root zone. 7.7 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 12 Section 8 Clearly-stated unity-of-design standards throughout the city or within defined areas or special districts (such as retail centers, historic districts, mixed-use developments, Tax Increment Reinvestment Zones, etc). Five or more of these areas exist in the city, or these areas comprise at least 35% of the city. Please also describe how these standards are maintained/enforced. Examples of standards that must be in place to qualify as a unified-design area include: Storefront design standards in terms of shapes and materials for awnings, storefront lighting, entries, doors, windows, and building appurtenances Signage limitations for permitted on-premises signs and specific guidelines for display window signage, window graphics, plaque signs, and entry paving Exterior furnishings / landscape - requirements regarding allowed exterior furnishings, landscaping, sidewalk grade, and ADA compliance Page 13 Section 9 Litter and graffiti 9.1 Littering is expressly prohibited and fined by city ordinance, including pedestrian trash as well as that thrown from motor vehicles. 9.2 Publicly supported cleanup efforts and education program for trash and graffiti. 9.3 Graffiti is expressly prohibited and fined by city ordinance, and a program exists to enforce effective removal. 9.4 Public trash receptacles have a protective covering to prevent trash from blowing out of can. 9.5 Trash can only be placed for collection on certain designated days, and not before or after within a period of 15 hours. 9.6 Strict prohibition on dumping. 9.7 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 14 Section 10 Utility and cable line program 10.1 Install utility lines (including individual service lines, transmission lines and distribution lines) underground, below the finished grade of the right of way. Remove (if appropriate) all poles, guy wires and related structures used to support overhead prior to burial. 10.2 Utility infrastructure should be mounted on pads at ground level; if within the right of way, should not block sidewalks or visibility at intersections. 10.3 All utility services located within the boundaries of a major roadway reconstruction or public improvement project are placed underground (in a minimum of 20% of the city). 10.4 For future individual utility service, lines which originate in a public road right of way and extend to any building or structure constructed after a certain date (including residential, commercial, or industrial) are installed underground. 10.5 Once utility service lines have been installed underground, the installation of new above-ground lines in that location is prohibited by ordinance. 10.6 On side streets with above-ground utility services which intersect with a roadway with underground utility lines, the first pole supporting the above ground service is placed on such side street at least 100 feet from the center of the roadway with the underground utilities. 10.7 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 15 Section 11 Dumpster screening 11.1 The dumpster area is screened on three sides using material consisting of stone, brick, block, wood or a continuous planting of evergreens. 11.2 The opening for removal of the dumpster for collection is a minimum of 12 feet to allow for proper access when it is serviced. For every dumpster added, an additional 10 feet in width is required. 11.3 All dumpster enclosures are approved by the city prior to construction. 11.4 Require that durable materials complement the building. 11.5 Require that the owner incorporate landscaping to make the screen more effective. 11.6 Require that location of the opening to the area be away from the sidewalk. 11.7 Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Page 16 Bonus! Your city may have features or programs that contribute to its scenic appeal that are not listed in these specifications. If you would like these to be considered with your application, please provide a detailed description thereof. These features are not limited to, but might include: historic districts historic preservation programs a scenic program related to a unique geographic feature a natural environment enhancement program storm runoff collectors beach/lake/river cleanups retention basins plantings in detention areas landscaping along a body of water a vegetated area bordering a stream or established to protect a stream system innovative programs above and beyond our criteria in any of the certification categories Please describe your enforcement program: a) methods, b) budget, and c) number of FTEs or their equivalent. Thank you for applying. Your application will be reviewed and you will receive a response along with your scored evaluation within 90 days. This evaluation will indicate your level of certification: Recognized, Bronze, Silver, Gold, or Platinum. If your city did not meet minimum certification requirements, the score sheet will be an effective tool for your use in future reapplication. 3015 Richmond Avenue, Suite 220 Houston TX 77098 713-979-4374 www.sceniccitycertification.org Improve Your Budget Document Through Participation in the Distinguished Budget Presentation Award Program For more information, please e-mail budgetawards@gfoa.org. Visit www.gfoa.org to check out all of GFOA’s Awards Programs: •Awards for Excellence in Government Finance •Canadian Award for Financial Reporting •Certificate of Achievement for Excellence in Financial Reporting •Popular Annual Financial Reporting Award The Government Finance Officers Association’s Distinguished Budget Presentation Award Program (Budget Awards Program) has been promoting the preparation of high quality budget documents since 1984. Thousands of governments participate in the program each year. Participants include state and local governments of all types (general-purpose and special-purpose) and sizes. What are the benefits? Users of the budget documents will have access to a high quality report promoting better transparency to citizens and other stakeholders. Credit rating agencies and other interested parties may view the award as a positive factor in decision making. Also, as budget documents evolve, participation helps to ensure that your document keeps up with the latest trends. It’s easy to participate! Once the budget document is prepared, submit it along with a completed application. The normal submission deadline is three months following the government’s proposed or adoption date. Requests for extensions beyond the deadline may be made as a result of various factors (e.g., employee turnover or printing problems, etc.) by e-mailing budgetawards@gfoa.org. How does it work? Reviews are conducted by budget professionals with a variety of governmental financial backgrounds. After review results are combined and a final vote is determined, an award decision letter is mailed to the submitting government. The mailing includes: 1)grading for various sections of the budget document, 2)a list of comments and suggestions that detail how the government can improve its budget document, and 3)a press release. The Budget Awards Program normally sends out results between four to six months after receiving a submission, giving the government time to implement comments and suggestions for its next budget document. Do we qualify? Any state or local government, including, in certain circumstances, funds and departments of governments, may participate in the Budget Awards Program. 44654_Budget_Layout 1 4/13/11 10:39 AM Page 1 Volunteer and Learn With the Budget Awards Program The Government Finance Officers Association invites you to join the growing number of reviewers of budget documents. Hundreds of individuals volunteer their time to review budget documents of state and local governments. The contribution of these reviewers is invaluable to the Distinguished Budget Presentation Award Program (Budget Awards Program). What are the benefits? In exchange for your service to the Budget Awards Program, you will receive valuable professional development benefits, including: •Being at the forefront of the most recent trends in budget documents for state and local governments. •Direct contact with a variety of report formats from around the country. •Access to a practical way of providing training and development for junior staff without an incremental cost. •Insight into what it takes to achieve the Budget Award and ideas to help you prepare for or improve a future Budget Awards submission. •Professional recognition for your service and time. Do I qualify? The GFOA encourages those with any experience in state and local government budgeting to join in the review process. In order to become a reviewer, one should have at least one year of budget experience with a state or local government. How will I find the time? The contribution that you make to the Budget Awards Program can be tailored around your availability and goals. The application to become a reviewer allows you to shape your involvement to maximize the use of your time. You will be asked the type of budgets you wish to review (size and type of government) and the months you are able to perform reviews. You will then receive no more than one budget in a given month. A review should only take a couple of hours, and can be returned electronically. GFOA staff is available during normal business hours to answer questions you may have during the review process. For more information, please e-mail budgetawards@gfoa.org. Government Finance Off icers Association 203 Nor th LaSalle Street, Suite 2700 Chicago, Illinois 60601-1210 312-977-9700 fax:312-977-4806 www.gfoa.org 44654_Budget_Layout 1 4/13/11 10:39 AM Page 2