Assessor Training

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Assessor Training

• March ??, 2006
• Carmel, Indiana

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Presented by

• Randy Cripe, Director
• State Accreditation Commission

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Assessor Training

• Manual Objectives
• Prepare assessors to conduct an on-site review
• Provide on-site forms and examples
• Class Objectives
• Familiarize student with
• Commission goals
• Onsite Review Process
• Final Report Requirements
• Assessor Tools Software

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Using Acronyms
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COMMISSION INFORMATION
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Commission Functions

• Establish standards
• Conduct agency reviews
• Oversee staff and committee activities
• SRIC
• Outreach
• Resolve on-site issues
• Conduct meetings every four months

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Commission Philosophy

• Commissions expect agencies/facilities to
  maintain compliance and live by the letter and
  spirit of standards.
• Agency/facility must consider its mission, its
  legally mandated responsibilities, and the
  demands of its community regarding applicability.

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Commissions Relationship With Agencies

• The Commissions relations with agencies under
  written contract is non-adversarial and will be
  supportive in all areas.
• Commissions presume that agencies operate in
  compliance with directives.
• Reaccreditation provides the opportunity to
  demonstrate compliance with directives for the
  previous accreditation time frame.

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Avg. on-sites per cycle

• Onsites are scheduled March, July, and November

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PROGRAM DETAILS
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ILEAC Program Overview

• Full Compliance
• 97 mandatory 4th ed.
• Comparative Compliance
• CALEAs 4th edition/ Commission 4th edition
• 11 standards

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Current Status

• ILEAC (Potential client base 200)
• 0 agencies accredited to date
• 0 agencies in process
• CALEA
• 37 Accredited to date
• 36 in process

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On-site Preparation Process

• Staff
• Determines readiness of candidate agency
• Assigns assessors
• Selects appropriate length of onsite
• 2 days/2 assessors

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Travel Policy

• Candidate agency responsibilities
• Per diem
• Hotel accommodations
• Mileage (if personal vehicle used)
• Computers (if required)
• Assessors agency responsibilities
• Salary
• Vehicle, if appropriate
• Laptop, if available
• Commitment

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Assessor Selection Criteria

• Application on file
• New Assessor training completed
• Refresher Training current
• Availability
• Agency size/rated capacity
• Location/type of onsite

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Team Leader Selection Criteria

• Assessment Experience
• CALEA/ILEAC onsites
• Mock onsites
• Supervisory Experience
• Agency in accreditation process
• Team Leader Training completed (CALEA)

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ILEAC ONLYSanctioned Mock Assessor Selection
Criteria

• Completed two full compliance on-sites for ILEAC
• Stays active with ILEAC by accepting an onsite
  assignment at least every 18 months
• Attends at least one accreditation conference a
  year

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ASSESSOR ROLE AND TASKS
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Assessor Responsibilities

• Review pre-onsite materials
• Represent the Commission
• Be objective and impartial
• Verify standard compliance
• File review
• Interviews
• Observe equipment and facility requirements

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Assessor Responsibilities, contd.

• Evaluate and comment
• on agencys delivery of services
• Critique team members and assessment process
  
• Learn Assessor Tools Software
• Keep current on standards and process
• Represent assessment team throughout the entire
  review process

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Assessor Discretion

• Literal interpretation of standard
• Agency intent
• Assessor applied discretion
• Consider big picture
• No room for bias
• Do not compare agencies
• Maintain consistent interpretation

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Mock Assessor Role

• Advisor
• Suggest ways to enhance files
• Meet facility requirements
• Devils advocate
• Analyze every aspect pertaining to standards
• Politician
• Facilitate changes for accreditation manager
• Mentor
• Assist with follow-up questions

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Assessor Role

• Examiner
• Approve supplied proofs of compliance
• Verify continued compliance with standards for
  previous accreditation timeframe.
• Read previous ISSRs and final report.
• Confirm time sensitive requirements were
  completed.

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Team Leader Role

• Assist agency through process with least amount
  of disruption to the organization
• Lead by example
• Give instruction freely to less experienced
  assessors
• Update all parties on current trends and changes

• Review previous final report and annual reports
• Answer all media inquiries

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ON-SITE ASSESSMENT AND COMMISSION REVIEW
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Pre-onsite Activities

• Coordinate travel arrangements with accreditation
  manager
• Review agency materials
• Team leader conference call with staff

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ILEAC Pre-onsite Materials

• Demographics of the agency and jurisdiction
• Sample file
• Organizational chart
• Written directive system
• Status report (compliance tally)
• On-site itinerary
• Pending lawsuits or civil litigation
• Annual reports/Final report (reaccreditation)
• Area maps

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ILEAC Pre-onsite Materials
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Onsite Formats

• Entrance interview
• Static Display (mandatory)
• Agency Orientation
• File Review
• Personnel Interviews
• Ride-alongs
• Shift Briefings
• Work areas

• Public Information Activities
• Exit Interview
• Follow-up activities (if required)
• Final Report

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Entrance Interview

• Introductions
• Assessor experience/background
• Commission philosophy

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Agency Orientation

• Personnel introductions
• Assessor workspace area

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Static Display

• Observable standards
• Standard equipment
• Special purpose vehicles
• Uniformed personnel

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Personnel Interviews

• Ride-alongs (Assessors only)
• Shift Briefings
• Key Personnel in their work space
• Seeing and being seen
• Interaction with agency members is critical

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Public Information Activities

• Verify press release/public information provided
  (CFA)
• Public phone line (ILEAC)
• Follow-up may be required
• Document calls
• Public hearing
• Correspondence (ILEAC)

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Exit Interview

• Give observations
• Recommendations to Commission
• Copy of final report will be provided
  by staff

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Committee Review Process
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THE STANDARDS
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Scope of Standards

• Standards provide description of what must be
  accomplished, not how to accomplish it.

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Types of Standards

• Written Directives, Policies, Plans, or
  Procedures
• (This is more than repeating the standard
  language!!!)
• Observable

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Types of Standards, contd.

• Multiple Requirements (Bullets)
• Itemized list of additional elements requiring
  individual documentation.
• Some bullets may not be applicable (N/A).
• Conditional (If)
• Standard is only applicable if the condition
  exists.

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Standard Format

• Assessor Guidelines
• Accreditation Manager Notes
• Quantified Compliance Keys
• Initial and reaccreditation
• Review Methods (ILEAC)

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Change Notices

• Standards Revision Form
• Available on website
• Anyone can submit
• SRIC reviews and makes a recommendation to the
  Commission
• Commission rejects or approves
• Effective upon publication, agency must comply
  within 12 months

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New / Amended Standards Policy

• An agency scheduled for an on-site within one
  year of the publication date has two options
• Meet new standard requirements by the on-site
  date or
• Delay compliance with new standards until after
  the onsite has occurred.

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Examples of Assessor Guidelines

• CFA 18.03
• Assessors should look for samples in the file
  with confidential information redacted.
• Procedures should include precautions when
  working with informants of the opposite sex and
  informants
• Interview officers who have routine interaction
  with juvenile informants.

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Examples of Accreditation Manager Notes

• 18.03 - Assessors will conduct random interviews
  to determine compliance with bullets.
• 18.04 - Each proof will be from a single
  comprehensive preliminary investigation resulting
  in arrest (such as armed robbery, sexual battery,
  homicide).

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Proof Guidelines, Initial

• Proofs should demonstrate compliance for the
  twelve month period prior to the onsite, or from
  the date of the policy, if in place less than 12
  months.

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Proof Guidelines, Reaccred

• Proofs are from onsite to onsite.
• Proofs for policies issued during the
  self-assessment phase must demonstrate compliance
  from the date of the policy only if the standard
  changed.
• Agency must still show 3 years of proofs if the
  standard did not change.

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Terms used in CFA Compliance Keys

• Sampling 3 examples
• 3YD refers to 1 example from each year, unless
  otherwise specified
• Sampling 3YD 5 examples total from the
  reaccreditation cycle (not 15)
• Random Sampling proofs selected from work areas
  appropriate to agency size

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FCAC Proofs of Compliance

• 1 One example
• 3 YD One example for each year
• Sampling Three examples (If used for
  reaccreditation, it means three from the current
  year)
• 2 Per Year, 3 YD Two examples for each year
• Sampling 3 YD Three examples for each year
• Agencies with multiple facilities should
  provide proofs from each facility when written
  directives, actual practice, or documentation
  (completed forms, etc.) differs between
  facilities, e.g., if only one type "inmate mail
  refusal" report is used in all facilities, then
  only one example from one facility is required in
  the file.
• Assessors will continue with observations and
  interviews until compliance or noncompliance is
  confirmed.

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Glossary

• Contains ILEAC and CALEA specific definitions
• Italicized words in the manual are contained in
  the glossary

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Standard language vs. statute

• Bias-based profiling selecting an individual for
  enforcement action based solely on a trait common
  to a group

• Racial profiling the detention, interdiction, or
  other disparate treatment of any person on the
  basis of their racial or ethnic status or
  characteristics

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WHAT IS A PROOF OF COMPLIANCE?
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What Constitutes a Written Directive?

• Policy
• Procedure
• Plan
• Rule
• General/Special Order
• State Law/County or Municipal Ordinances

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What is considered Supporting Documentation?

• Memorandums
• Computer Printouts
• Job Descriptions
• Letters from Citizens
• Logs/Rosters/Evaluations
• Budget Documents
• Instructional Material

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Factors to Observe

• Activities
• Equipment
• Security
• Facility

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Old ISSR (Reaccreditation only)

• Copy of final ISSR from original on-site
• new documentation

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VERIFYING AND RECORDING COMPLIANCE WITH STANDARDS
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ILEAC File Review

• Full Compliance
• 100 of applicable mandatory
• 80 of applicable other than mandatory
• Comparative Compliance
• 100 of all applicable required standards
• allows 2 standards as optional

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ILEAC File Review

• 100 of applicable mandatory standards
• 90 of applicable other than mandatory standards

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Compliance

• A file is in compliance when
• Proofs demonstrate agencys ability to meet all
  standard requirements.
• Interviews with key personnel prove compliance.
• All time-sensitive requirements are completed.
• Observe required equipment, security measures,
  etc.

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Applicability/Non-applicability

• If condition pertains to a function that does
  not apply, the standard is N/A.
• Mandatory standards deal with life, health, and
  safety issues legal matters or essential law
  enforcement/ correctional practices.
• Even if the agency does not perform the function,
  the standard may still apply.

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1.01 Table of Org.
Old SSF (Reaccreditation only)
Factors to Observe
Supporting Documentation (Other than Written
Directives)
Supporting Written Directives
Standard Summary Form
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Waivers

• Requests for waivers may be granted by the
  Commission, but must be verified by assessors.
  (ILEAC Waiver Form)
• Mandatory standards only

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ILEAC Abbreviations Designated in Review Methods

• I- Interview personnel in their work areas or
  subject matter experts
• O- Observe existing conditions, methods, or a
  specific item
• OE Observe Equipment
• OF Observe Facility
• OS Observe Security Measures
• OR Observe Random Sampling

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Standards Status Change

• Non-applicable to Compliance
• Compliance to Non-applicable
• Compliance to 10 or 20 percent
• 10 or 20 percent to Compliance
• Compliance to Noncompliance

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Noncompliance?

• If an agency is found to be in noncompliance with
  a mandatory standard at the end of the onsite
• Complete Noncompliance Box with detailed
  information outlining reason
• Check change status requested
• Tell AM to make changes in the computer program
• AM makes new data disc under onsite activities

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Pending Standards

• Standards with follow-up required at the end of
  the onsite
• Leave as pending on Assessor Tools
• No data transfer necessary
• Once follow-up is complete, mark done on
  Assessor Tools and make remarks in appropriate
  section of the report

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ILEAC Conditional Accreditation

• Conditions may require an agency to take specific
  measures to cope with current or anticipated
  events threatening or preventing standard
  compliance.
• Monitor agency as appropriate
• Provides for CALEA accreditation with conditions

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Interpretations
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Data Exchange and Flow of Information
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Final Report

• Elements of the final report
• Agency/facility profile
• Onsite review summary
• Compliance tally
• Corrective Actions
• Standards Changed Status
• Noncompliance Standards
• Public Information Activities (ILEAC)
• Chapter Summaries
• Conclusions and Recommendations

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Final Report Recommendations

• How not to get your final report draft back
  looking like an autopsy was performed on it!!!
• Ensure all comments are correct (content,
  spelling, and grammar)
• Write as if the reader knows nothing about the
  topic
• No acronyms or colloquialisms
• Give resolutions to identified problems
• Write it in third person not first person

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Assessor Practical Exercises
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Exercise 1 Body armor is issued to all deputies
and they are required to wear it during duty
hours. During the static display a motorcycle
deputy is observed not wearing their vest. What
do you do?
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Exam Time

• Its time to find out what you remember!
• Review answers

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THE END

• THANKS FOR COMING
• AND
• GOOD LUCK!