Standards for Law Enforcement Agencies - The Standards Manual of the Law Enforcement Agency Accreditation Program

    STANDARDS
FOR

LAW ENFORCEMENT AGENCIES

The Standards Manual of 
the Law Enforcement Agency 

Accreditation Program

> ,

August, 1983



Members and Staff of the Commission on Accreditation 
for Law Enforcement Agencies, Inc.

Commissioners *

Richard P. Wille, Chairman 
West Palm Beach, Florida

Rosemciry Ahmann 
Rochester, Minnesota

Kenneth E. Joseph 
Houston, Texas

Bruce R. Baker 
Portland, Oregon

Richard Knight, Jr. 
Dallas, Texas

John H. Ball 
Royal Oak, Michigan

William Lucas 
Detroit, Michigan

L. C. Bittick 
Wcishington, D.C.

Bob Martinez 
Tampa, Florida

Egon Bittner 
Waltham, Massachusetts

Kenneth H. Medeiros 
Bismarck, North Dakota

Gilbert M. Branche 
Philadelphia, Pennsylvania

Jack Pearson 
Sacramento, California

Lee P. Brown 
Houston, Texas

Edward F. Reilly, Jr. 
Leavenworth, Kansas

William H. Erickson 
Denver, Colorado

Howard L. Runyon, Sr. 
Stirling, New Jersey

Elizabeth S. Fiorina 
Santa Fe, New Mexico

Wilson E. Speir 
Austin, Texas

Thomas F. Hastings 
Rochester, New York

Paul Steinbrenner 
Medford, Oregon

Staff

James V. Cotter, Executive Director 
Richard F. Kitterman'Jr., Assistant Director (Field Operations) 

Frank J. Leahy, Jr., Assistant Director (Headquarters Operations) 
Martha S. Mahieu, Executive Secretary 

Linda L. Phillips, Word Processor

* A list of current and past members of the Commission who participated in the review and approval of 
standards will be found in Appendix A.



STANDARDS FOR LAW ENFORCEMENT AGENCIES

T h e S tan d ard s M anual of 
th e  Law  E n fo rcem en t A gen cy  

A ccred ita tio n  P ro g ra m

August, 1983

Commission on Accreditation 
for Law Enforcem ent Agencies, Inc. 

8803 Sudley Road, Suite 205 
Manassas, Virginia 22110



PREFACE

The Standards for Law Enforcement Agencies: The Standards M anual o f  the Law Enforcement 
Agency Accreditation Program  (hereinafter, the Standards Manual) is one of four major publications 
prepared by the Commission on Accreditation for Law Enforcement Agencies, Inc., (hereafter, the 
Commission).

• The Standards Manual is the Commission’s principal publication. More than 940 standards have 
been prepared by the four major law enforcement executive membership associations, the

— international Association of Chiefs of Police (lACP);
— National Organization of Black Law Enforcement Executives (NOBLE);
— National Sheriffs’ Association (NSA); and the
— Police Executive Research Forum (PERF).

The completed standards were then presented to the Commission, which reviewed each standard 
at quarterly meetings held in various parts of the country. Following a field review of the standards in 
several hundred law enforcement agencies, the standards were adopted by tjie Commission in April, 
1983. This is the first edition of the approved standards.

The Commission’s other three publications explain application of the standards and other aspects of 
the accreditation process.

• The Accreditation Program B ooh  is the principal source of information about the accreditation 
program. Major emphasis is devoted to the accreditation process—from the time that an agency applies 
for accreditation until it is accredited. Post-accreditation activities are described, including the process 
of reaccreditation. The Accreditation Program B ooh  is designed to provide information not only for law 
enforcement agencies that are involved in the accreditation program but also for those which may be 
interested in applying for accreditation.

• The Self-assessment Manual is intended as an agency guide to a most important aspect of the 
accreditation process—the agency’s self-assessment. The Self-assessment M anual is intended for two 
audiences: first, for the agency’s accreditation manager, as he or she manages the program and pro­
vides orientation and training for other agency personnel; and second, for agency personnel who may 
be asked to undertake assignments with little or no knowledge about the nature and scope of the 
accreditation program—including the standards and the process.

• The Assessor's Manual is designed as a guide for Commission assessors, who are assigned to 
verify that the agency is in compliance with the standards. (Although a major Commission publication, 
the Assessor's Manual will not be made available for general distribution; it will be provided to 
assessors during training and will be retained by them as a guide for their on-site assessment activities.)

A final note: An Accreditation Program Oueruiew is also available from the Commission. This brief 
description of the program provides general information about: the background of law enforcement 
accreditation; the Commission and the Commissioners; goals, objectives, and policies of the Commis­
sion; the standards; the accreditation process; the benefits of accreditation; costs of accreditation; 
eligibility for accreditation; and application procedures. Single copies of the Overview  are available 
from the Commission without charge; multiple copies may be ordered at a nominal charge from:

Accreditation Program Overview
Commission on Accreditation for 

Law Enforcement Agencies, Inc.
8803 Sudley Road, Suite 205
Manassas, Virginia 22110

or you may call (703) 361-1711 or (703) 631-2218

II I



CONTENTS

INTRODUCTION 

CHAPTERS 1-5

CHAPTER 1

CHAPTER 2

CHAPTER 3 

CHAPTER 4

CHAPTER 5

LAW ENFORCEMENT ROLE, RESPONSIBILITIES, AND 
RELATIONSHIPS

LAW ENFORCEMENT ROLE AND AUTHORITY

1.1 Law Enforcement Agency Role
1.2 Limits of Authority
1.3 Use of Force

AGENCY JURISDICTION, MUTUAL AID, AND REGIONAL SERVICES

2.1 Agency Jurisdiction and Mutual Aid
2.2 Regional Services

CONTRACTUAL AGREEMENTS FOR LAW ENFORCEMENT SERVICES

RELATIONSHIPS WITH OTHER AGENCIES

4.1 Liaison
4.2 Interagency Coordination and Planning 

IMPROVEMENTS IN THE CRIMINAL JUSTICE SYSTEM

CHAPTERS 11-17

CHAPTER 11

CHAPTER 12

CHAPTER 13 

CHAPTER 14

CHAPTER 1.5

ORGANIZATION, MANAGEMENT, AND ADMINISTRATION

ORGANIZATION

11.1 Organizational Structure
11.2 Unity of Command
11.3 Span of Control
11.4 Delineation of Responsibility
11.5 Authority and Responsibility

DIRECTION

12.1 Direction
12.2 Written Directives

GENERAL MANAGEMENT

PLANNING AND RESEARCH

14.1 Organization
14.2 Functions

CRIME ANALYSIS



CHAPTER 16 ALLOCATION AND DISTRIBUTION OF PERSONNEL AND PERSONNEL 
ALTERNATIVES

16.1 Allocation of Personnel
16.2 Distribution of Personnel
16.3 Civilian Employees
16.4 Reserves
16.5 Auxiliaries

CHAPTER 17 FISCAL MANAGEMENT

CHAPTERS 21-26

CHAPTER 21

CHAPTER 22

CHAPTER 23

CHAPTER 24

CHAPTER 25 

CHAPTER 26

THE PERSONNEL STRUCTURE

CLASSIFICATION AND ASSIGNMENT

21.1 Job Analysis
21.2 Classification
21.3 Assignment

COMPENSATION, BENEFITS, AND CONDITIONS OF WORK

22.1 Compensation
22.2 Benefits
22.3 Conditions of Work

CAREER DEVELOPMENT AND HIGHER EDUCATION

23.1 Career Development Practices and Procedures
23.2 Program Inventories
23.3 Career Counseling and In-service Training
23.4 Higher Education

COLLECTIVE BARGAINING

24.1 Administration
24.2 Procedures
24.3 Contract Management

GRIEVANCE PROCEDURES 

DISCIPLINARY PROCEDURES

CHAPTERS 31-35

CHAPTER 31

THE PERSONNEL PROCESSES

RECRUITMENT

31.1 Administratrve Practices and Procedures
31.2 Cooperative Agreements
31.3 Community Outreach
31.4 Comprehensive Recruitment Plan
31.5 Affirmative Action and Equal Employment Opportunity
31.6 Job Announcements and Publicity
31.7 Application Process

VI



CHAPTER 32

CHAPTER 33

CHAPTER 34

CHAPTER 35

CHAPTERS 41-47

CHAPTER 41

CHAPTER 42 

CHAPTER 43 

CHAPTER 44

32.1 Professional and Legal Requirements
32.2 Administrative Practices and Procedures
32.3 Background Investigations
32.4 Polygraph Examinations and Other Instruments for the Detection of 

Deception
32.5 Oral Interviews
32.6 Occupational Qualifications
32.7 Probationary Periods

TRAININO

33.1 Organization and Administration
33.2 Academy Administration
33.3 Training Instruction
33.4 Recruit Training
33.5 In-Service, Roil Call, and Advanced Training
33.6 Specialized Training
33.7 Civilian Training

PROMOTION

34.1 Professional and Legal Requirements
34.2 Administrative Practices and Procedures
34.3 Assessment Centers

PERFORMANCE EVALUATION

35.1 Organization
35.2 Management
35.3 Utilization

LAW ENFORCEMENT OPERATIONS

PATROL

41.1 Organization and Administration
41.2 Operations

CRIMINAL INVESTIGATION

42.1 Organization and Administration
42.2 Operations

ORGANIZED CRIME AND VICE CONTROL

43.1 Organization and Administration
43.2 Operations

JUVENILE OPERATIONS

44.1 Organization and Administration
44.2 Operations

SELECTION

vi i



CHAPTER 45

CHAPTER 46

CHAPTER 47

CRIME PREVENTION

45.1 Organization and Administration
45.2 Operations

UNUSUAL OCCURRENCES

46.1 Administration
46.2 Operations

SPECIAL OPERATIONS

CHAPTERS 51-54

CHAPTER 51

CHAPTER 52

CHAPTER 53

CHAPTER 54

OPERATIONS SUPPORT

INTELLIGENCE

51.1 Administration
51.2 Operations
51.3 Facilities and Equipment

INTERNAL AFFAIRS

52.1 Administration
52.2 Complaint Processing
52.3 Operational Procedures

INSPECTIONAL SERVICES

53.1 Line Inspections
53.2 Staff Inspections

PUBLIC INFORMATION AND COMMUNITY RELATIONS

54.1 Public Information
54.2 Community Relations

CHAPTERS 61-66

CHAPTER 61

CHAPTER 62 

CHAPTER 63

CHAPTER 64 

CHAPTER 65

TRAFFIC OPERATIONS

TRAFFIC ADMINISTRATION

61.1 Organization
61.2 Traffic Records
61.3 Selective Enforcement
61.4 Personnel Deployment

TRAFFIC LAW ENFORCEMENT

TRAFFIC ACCIDENT INVESTIGATION

63.1 Accident Reporting or Investigation
63.2 At Scene Stabilization Activities
63.3 Accident Reports and Records

TRAFFIC DIRECTION AND CONTROL 

TRAFFIC ENGINEERING

Vll l



CHAPTER 66 TRAFFIC ANCILLARY SERVICES

CHAPTERS 71-74

CHAPTER 71

CHAPTER 72

CHAPTER 73

CHAPTER 74

PRISONER AND COURT-RELATED ACTIVITIES

PRISONER TRANSPORTATION

71.1 Transport Operations
71.2 Special Transport Situations
71.3 Restraining Devices
71.4 Transport Equipment
71.5 Documentation

HOLDING FACILITY
72.1 Organization, Management, and Administration
72.2 Fiscal Management
72.3 Training and Staff Development
72.4 Management Information Systems and Arrestee Records
72.5 Physical Plant
72.6 Safety and Sanitation
72.7 Medical and Health Care Services
72.8 Food Services
72.9 Security and Control
72.10 Supervision of Arrestees
72.11 Management of Special Arrestees
72.12 Arrestee Rights
72.13 Mail and Visiting
72.14 Reception, Orientation, Release, and Property Control
72.15 Classification

COURT SECURITY

73.1 Administration
73.2 Physical Facilities
73.3 Security
73.4 Personnel
73.5 Equipment

LEGAL PROCESS

74.1 Records
74.2 Civil Process
74.3 Criminal Process
74.4 Financial Management
74.5 Property

CHAPTERS 81-84

CHAPTER 81

AUXILIARY AND TECHNICAL SERVICES

COMMUNICATIONS

81.1 Administration
81.2 Operations
81.3 Facilities and Equipment

IX



CHAPTER 82

CHAPTER 83

CHAPTER 84

APPENDIX A 

APPENDIX B 

INDEX

RECORDS

82.1 Administration
82.2 Operations

COLLECTION AND PRESERVATION OF EVIDENCE

83.1 Processing Evidence at the Scene
83.2 At Scene Evidence Records
83.3 Training
83.4 Organization and Administration

PROPERTY MANAGEMENT

84.1 Acquired and In-custody Property
84.2 Agency-owned Property

Current and Past Commission Members Who Participated in the Review and 
Approval of Standards.

Staff Members of the Four Associations and the Commission Who Participated 
in Drafting, Reviewing, and Editing Standards.



INTRODUCTION

A. The Accreditation Program  for Law Enforcem ent Agencies.

The voluntary accreditation program for law enforcement agencies is a joint effort of the Commis­
sion on Accreditation for Law Enforcement Agencies, Inc., and the four major law enforcement ex­
ecutive membership associations:

• international Association of Chiefs of Police (lACP),
• National Organization of Black Law Enforcement Executives (NOBLE),
• National Sheriffs’ Association (NSA), and the
• Police Executive Research Forum (PERF).

B. General Information About the Commission.

The Commission on Accreditation for Law Enforcement Agencies was formed in 1979 to establish a 
body of standards designed to: (1) increase law enforcement agency capabilities to prevent and control 
crime; (2) increase agency effectiveness and efficiency in the delivery of law enforcement services; (3) 
increase cooperation and coordination with other law enforcement agencies and with other agencies of 
the criminal justice system; and (4) increase citizen and employee confidence in the goals, objectives, 
policies, and practices of the agency. In addition, the Commission was formed to develop an accredita­
tion process that provides state and local law enforcement agencies an opportunity to demonstrate 
voluntarily that they meet an established set of law enforcement standards.

The four major law enforcement executive membership associations joined forces to create the 
Commission and to appoint its members. At this writing, the Commission is composed of 21 members: 
eleven law enforcement professionals and ten representatives from the public and private sectors, in­
cluding a state supreme court justice, state senator, county administrator, mayor, city council member, 
and professor, among others. The Commission reflects broad representation from state and local levels 
as well as from many regions of the United States.

Following its first organizational meeting in December, 1979, the Commission turned its attention 
to the consideration of standards drafted by the four associations. The final chapters of the “draft” stan­
dards were approved on May 1, 1982.

During this 28-month time frame, there were organizational changes. The four associations incor­
porated the Commission as an independent, nonprofit corporation in October, 1980. In March, 1981, an 
Executive Director was employed to begin work on program implementation; since then, other staff 
have been employed. (See accompanying organizational chart of the Commission—Exhibit 1—especially 
the note about appointment of Commissioners.)

Following approval of the draft standards, the four associations and the Commission’s staff turned 
their attention to a field review of standards and to the development of the accreditation process, in­
cluding policies, procedures, manuals, and forms. Much of 1982 and early 1983 were taken up in field 
testing the standards and the accreditation process.

C. General Information About Standards

1. Standards Development.

The Commission defined 48 topics that the standards would address. The drafting associations 
reviewed pertinent literature and prepared standards for consideration at meetings attended by staff of 
all four participating associations. The staffs reviewed the standards, using guidelines approved by the 
Commission, amended individual standards, and sent recommended versions to the Commission.

At quarterly Commission meetings, committees of the Commission reviewed each chapter of 
standards and made recommendations to the full Commission for changes and approval. Besides



approving the standards, the Commission approved other elements of the standards—the commen­
taries” and “levels of compliance.”

The Commission-approved draft standards were then submitted to law enforcement agencies 
and individuals for review and comment. They were also subjected to a structured field review within
selected law enforcement agencies in all 50 states.

Comments from agencies and individuals were reviewed by the four participating associations 
and recommended modifications were sent to the Commission for its approval. Amendments to the 
standards were approved by the Commission on April 30, 1983. Amendments and consolidations 
reduced the number of standards from 1,012 to 944; all changes have been incorporated into this first 
edition of the standards.

EXHIBIT 1
ORGANIZATIONAL CHART OF THE

COMMISSION ON ACCREDITATION FOR LAW ENFORCEMENT AGENCIES

Secretariat
and

Corporate
Affairs

Executive
Director

Legal
Counsel

Management and 
Administrative 

Services

— Finance
— Personnel
— Data Processing
— Word Processing
— Office Management
— Logistics

Research
and

Development

• Standards R&D
■ Process R&D
■ Research Center/

Library
- Manuals

Maintenance
- Preparation of

Major Publications
- Program Evaluation

Public Information 
and

Communications

Accreditation
Field

Services

— Inquiries and General
Correspondence

— Marketing and
Outreach

— Media Relations
— Newsletters,

Speeches, &
Articles Preparation

— Public Information
Contact with the 
Applicant and 
Candidate Agencies

Accreditation 
Processing

- Eligibility
- Agency Profile
- Waivers, Appeals.

Plans of Action
- Self-assessment
- On-site

Assessment
- Accreditation

Reporting and 
Presentation to 
the Commission

- Reaccreditation

Assessor
Relations

Recruitment
■ Selection
■ Training 
• On-site

Direction 
and Control

■ Evaluation

• Members of the 21-person Commission are appointed for three-year terms by the Presidents and 
Executive Directors of the lACP, NSA, NOBLE, and PERF; Commission Bylaws require the unanimous 
consent of the appointing association representatives. Of the 21 members: 11 are law enforcement 
practitioners and 10 are nonpractitioners.

Xtl



2. Nature and Scope o f  the Standards.

There are 944 standards organized into 48 chapters and nine topic areas listed in Exhibit 2.
Each standard is composed of three parts: the standard statement, commentary, and levels of 

compliance.
The standard statement is a declarative sentence that places a clear-cut requirement or require­

ments on the agency. Many statements call for the development and implementation of a policy or pro­
cedure in the form of a rule, regulation, or written directive. Other standards require an activity, report, 
procedure, or other action.

The com m entary  is designed to explain or expand upon the standard or to provide guidance, 
which an agency may or may not see fit to follow when complying with the standard. The commentary
is not binding on the agency; only requirements of the standard statement are binding.

The third and final part of the standard is leuels o f  com pliance. For each of six agency-size 
categories, the levels of compliance indicate whether a given standard is mandatory (M), nonman­
datory (O, for "other than" mandatory), or not applicable (N/A). Agencies are categorized by total 
number of personnel employed: A, 1 to 9; B, 10 to 24; C, 25 to 49; D, 50 to 199; E, 200 to 999; and F,
1,000 or over. A given standard, for example, may be mandatory for agencies in categories E and F, not 
applicable for agencies in category A, and nonmandatory for agencies in between (B, C, and D).

In the previous “draft” edition of the standards, levels of compliance were listed as follows:

Levels of Compliance:
A B C D E F
N/A O O O M M

In the interest of reducing the bulk of the Standards Manual and, thereby, reducing its cost, 
levels of compliance are now indicated as the last item of the commentary. For example, the commen­
tary for standard 1.1.1 is as follows:

Establishing, and routinely updating, goals and objectives of the agency and each compo­
nent helps to ensure direction and unity of purpose and serves as a tjasis for measuring 
progress. (M M M M M M)

In this instance, standard 1.1.1 is mandatory for all agencies—A through F. All standards will 
list levels of compliance in the same order—A through F—left to right.

EXHIBIT 2
LAW ENFORCEMENT ACCREDITATION STANDARDS- 

TOPIC AREAS AND CHAPTER NUMBERS

TOPIC AREAS CHAPTER TITLE CH. No.

Law Enforcem ent 
Role, Responsi­
bilities, and  
Relationships

Organization, 
Management, and  
Administration

Law Enforcement Role and A uthority................................................  1
Agency Jurisdiction, Mutual Aid, and Regional Services................  2
Contractual Agreements for Law Enforcement Services................  3
Relationships with Other Agencies.......................................................  4
Improvements in the Criminal Justice System ..................................  5

Organization.............................................................................................. 11
Direction ..................................................................................................... 12
General Management ..............................................................................  13
Planning and R esearch ............................................................................ 14
Crime Analysis...........................................................................................  15
Allocation and Distribution of Personnel and

Personnel Alternatives.........................................................................  16
Fiscal Management..................................................................................  17

xni



TOPIC AREAS

The Personnel 
Structure

The Personnel 
Processes

Law Enforcement 
Operations

Operations Support

Traffic Operations

Prisoner and  
Court-related 
Activities

Auxiliary and  
Technical Services

EXHIBIT 2 (cont’d)

CHAPTER TITLE CH. No.

Classification and Assignment................................................................ 21
Compensation, Benefits, and Conditions of W o rk ...........................  22
Career Development and Higher Education ....................................  23
Collective Bargaining.............................................................................  24
Grievance Procedures....................................................  25
Disciplinary Procedures ......................................................................... 26

Recruitment...............................................................................................  31
Selection ....................................................................................................  32
Training......................................................................................................  33
Prom otion.................................................................................................. 34
Performance Evaluation......................................................................... 35

P atro l........................................................................................................... 41
Criminal Investigation.............................................................................  42
Organized Crime and Vice Control....................................................... 43
Juvenile Operations.................................................................................. 44
Crime Prevention ....................................................................................  45
Unusual Occurrences .............................................................................  46
Special Operations....................................................................................  47

Intelligence ...............................................................................................  51
Internal Affairs........................................................................................... 52
Inspectional Services................................................................................ 53
Public Information and Community Relations..................................  54

Traffic Administration.............................................................................  61
Traffic Law Enforcement ......................................................................  62
Traffic Accident Investigation................................................................ 63
Traffic Direction and Control ................................................................ 64
Traffic Engineering.................................................................................. 65
Traffic Ancillary Serv ices ......................................................................  66

Prisoner Transportation ......................................................................... 71
Holding Facility ......................................................................................... 72
Court Secu rity ...........................................................................................  73
Legal Process.............................................................................................  74

Communications......................................................................................  81
Records ......................................................................................................  82
Collection and Preservation of Evidence...........................................  83
Property Management.............................................................................  84

3. Applicability o f  the Standards.

a. M andatory Standards. A majority of the standards are in the “mandatory” 
category—mandatory in the sense that all law enforcement agencies must comply with all mandatory 
standards that are applicable.

If an agency does not have a holding facility, then the standards in the Holding Facility 
chapter (72) do not apply. If the agency has not entered into a collective bargaining agreement, then 
the Collective Bargaining chapter (24) does not apply.

XIV



In this same sense, certain standards are "if” standards; their applicability depends on 
whether an agency does or does not engage in a given function, activity, or task. For example, if the 
agency uses assessment centers as part of its promotional procedures, then standard 34.3.1 (on assess­
ment centers) does apply. If assessment centers are not used, then 34.3.1 does not apply.

Conversely, certain standards apply whether an agency performs the function or not. All 
agencies are expected to analyze crime and engage in crime prevention and community relations ef­
forts. The scope of these requirements is spelled out in the standards and may vary according to agency 
size. In this regard, the Commission has developed a series of application principles, termed "guiding 
principles.” These guiding principles are described in other Commission publications. (See especially, the 
Accreditation Program Book.)

b. Nonmandatory Standards. Agencies applying for initial accreditation are expected to 
comply with at least 80 percent of the applicable nonmandatory standards. (Again, "applicability” is a 
key—whether or not an agency must concern itself with a given chapter or standard within a chapter.) 
Agencies are free to select the 80 percent with which they choose to comply. Applicant agencies, 
however, are encouraged to comply with as many of the nonmandatory standards as possible. Over the 
course of time, accredited agencies will be expected to exceed the 80-percent requirement for com­
pliance with nonmandatory standards.

c. Not A pplicable Standards. Certain standards are designated as not applicable for certain 
size agencies. Ordinarily, N/A standards apply to A- and B-size agencies—those with fewer than 25 
members. The rationale for this is that smaller agencies cannot be expected to employ the range of 
specialists or perform the number of functions that larger agencies could reasonably be expected to 
employ or perform.

D. General Information About the Accreditation Process and Procedures

There are five general phases or steps in the accreditation process; they are:

1. Application. The accreditation process begins when an agency applies to the Commission 
for applicant status. The application form requires the signature of the agency’s chief executive officer 
(and that of the agency’s chief civil authority, if necessary). Once agency eligibility has been confirmed, 
the agency and the Commission sign a contract that identifies what is expected of each party.

2. Agency Questionnaire. The agency completes and files an Agency Profile Questionnaire 
(APQ), thereby providing information that the Commission can use to determine the standards with 
which the agency must comply. The APQ asks about agency size, mandated responsibilities, and 
jurisdiction—the primary determinants of the standards an agency must meet to be accredited.

3. Self-assessment. After the Commission determines which standards an agency must comply 
with, those standards are sent to the agency. The agency then initiates the self-assessment process, 
which involves examination by the agency to determine whether or not it complies with all applicable 
standards. "Proofs of compliance” are prepared and documentation is assembled to facilitate the on-site 
assessment.

4. On-site Assessment. After the agency is satisfied that it has reached compliance with all ap­
plicable standards, it notifies the Commission. The Commission then identifies a team of assessors, 
allows the candidate agency to review Jhe team makeup to avoid conflict of interest, and dispatches the 
team to the agency. The assessors examine proofs of compliance to determine if the agency complies 
with all applicable standards.

5. Commission Review. The on-site assessment team submits a report to the Commission, 
whereupon the Commission grants full accreditation or defers accreditation status. In the case of the 
latter, the Commission advises the agency of the necessary steps to gain accreditation.

Accreditation is for a five-year period. To maintain accreditation during this period, agencies must 
remain in compliance with those standards under which accreditation was awarded. Agencies must 
apply for reaccreditation before the end of the fifth year. An on-site assessment is required as part of 
the reaccreditation process.

XV



1
LAW ENFORCEMENT ROLE AND AUTHORITY

Standards in this chapter relate to the basic role and authority of law enforcement agencies. 
Subtopics address the development of policy concerning the law enforcement function, the limits 
of authority, and the use of force.

When an agency defines its role, two broad purposes are served. First, officers are made 
aware of the actions and attitudes expected of them and can therefore act without hesitation in 
consonance with departmental policy. Second, members of the public are provided with a general 
standard by which they can measure the performance of the agency. Written policy defining the 
functional role should set forth the agency’s purpose or mission, goals, and basic programs and 
priorities; and policy should specify that the agency intends to be responsive to, and protect the 
constitutional rights of, the community.

Each agency should have written policy recognizing the limits of law enforcement authority 
and the need for public approval and acceptance of that authority. The policy should define what 
constitutes the reasonable or unreasonable use of force. Among other things, the policy should 
address the need for agency accountability to the community through a formal procedure for 
public involvement in the development of policies and procedures (see Chapter 15) and should 
establish formal procedures for receiving commendations and complaints and for investigating 
allegations of misconduct (see Chapter 52).

Written policy should set forth the enforcement policy of the agency, define the limits of in­
dividual discretion, and provide guidelines for the exercise of such discretion. Because the con­
cept of discretion defies rigid codification, officers should be trained in how to exercise the broad 
discretionary authority they have been granted.

1.1 Law E n fo rcem en t A gen cy  Role

1.1.1 A written directive requires the formulation, 
annual updating, and distribution to all personnel o f 
written goals and objectives for the agency and for 
each organizational component within the agency.

Commentary: Establishing, and routinely updating, 
goals and objectives of the agency and each compo­
nent helps to ensure direction and unity of purpose 
and serves as a basis for measuring progress.
( M  M  M  M  M  M ) *

1.1.2 A written directive establishes procedures for 
obtaining input from all personnel levels within the 
agency in the development o f agency goals and objec­
tives.
Commentary: Obtaining the input of personnel has 
great value in improving the relevancy and coverage 
of goals and objectives statements; further, it en-

’ The letters witliin the parentheses pertain to levels of 
compliance. See Section C.2 ol the Introduction lor an 
explanation.

courages the feeling that em ployees have contributed 
to the management and operation of the agency.
(M M M M M M)

1.1.3 A written directive requires an annual submis­
sion to the agency's chief executive officer by each 
organizational component o f a written evaluation 
stating the progress made toward the attainment o f 
goals and objectives.

Commentary: The intent of this standard is to ensure 
that the agency's chief executive officer is informed, 
on a regular basis, of the progress toward achieving 
established goals and objectives.
(O O O O O O)

1.1.4 A written directive requires all personnel, 
prior to assuming sworn status, to take an oath o f of­
fice to enforce the law and uphold the Constitution o f 
the United States, and where applicable, the state con­
stitution.

1-1



Commentary: The taking of an oath of office is a 
universal practice in law enforcement service. The 
oath should include elements to satisfy both local and 
state requirements as well as the need to enforce the 
law and uphold the Constitution of the United States. 
(M M M M M M)

1.1.5 A written directive requires all sworn officers 
to abide by a code or canon of ethics adopted by the 
agency.
Commentary: The canon of ethics adopted by the In­
ternational Association of Chiefs of Police, or the Law 
Enforcement Code of Ethics as published by the Inter­
national Association of Chiefs of Police, will satisfy 
the intent of this standard. Adherence to the code of 
ethics and to the United Nations Code of Conduct for 
Law Enforcement Officials may also be inserted as an 
element of the oath of office.
(M M M M M M)

1.2 Lim its of A uth ority

1.2.1 A written directive defines the legally man­
dated authority vested in sworn agency personnel.
Commentary: The written directive should define 
and elaborate on the scope and limits of law enforce­
ment authority as it pertains to the enforcement of 
laws, statutes, and ordinances.
(M M M M M M)

1.2.2 A written directive governs the use o f discre­
tion by sworn officers.
Commentary: In many agencies, the exercise of 
discretion is defined by a combination of written en­
forcement policies, training, and supervision. The 
written directive should define the limits of individual 
discretion and provide guidelines for exercise within 
those limits. (M M M M M M)

1.2.3 A written directive defines the authority, 
guidelines, and circumstances when sworn personnel 
should exercise alternatives to arrest and/or alter­
natives to prearraignment confinement.
Commentary: The written directive should identify 
the authority of sworn officers to use alternatives to 
arrest (e.g., citations, summonses, referral, informal 
resolution, and warning) to address the variety of 
problems they confront. Policy guides and procedural 
directions should be developed to ensure appropriate 
use by personnel. (M M M M M M)

1.3 Use of F o rc e

1.3.1 A written directive states personnel will use 
only the force necessary to effect lawful objectives.

Commentary: The directive should encompass the 
use of all types and kinds of force (whether deadly or 
nondeadly) and all types and kinds of weapons. The 
directive may be issued in the form of a policy, rule, 
or order. (M M M M M M)

1.3.2 A written directive states that an officer may 
use deadly force only when the officer reasonably 
believes that the action is in defense o f human life, 
including the officer’s own life, or in defense o f any 
person in immediate danger o f serious physical injury.

Commentary: The purpose of this standard is to pro­
vide officers with guidance in the use of force in life 
and death situations and to prevent unnecessary loss 
of life. Definitions of "reasonable belief,” and “serious 
physical injury” should be included in the directive.
(M M M M M M)

1.3.3 A written directive specifies that use o f deadly 
force against a “fleeing felon" must meet the condi­
tions required by standard 1.3.2.
Commentary: A “fleeing felon” should not be 
presumed to pose an immediate threat to life in the 
absence of actions that would lead one to believe 
otherwise, such as a previously demonstrated threat 
to or wanton disregard for human life.
(M M M M M M)

1.3.4 A written directive requires that all sworn per­
sonnel be issued copies o f and be instructed in the 
policies described in standards 1.3.1 through 1.3.3 
before being authorized to carry a firearm.
Commentary: Owing to the importance of standards 
1.3.1, 1.3.2, and 1.3.3, the agency should disseminate 
the directives to all sworn personnel individually.
(M M M M M M)

1.3.5 A written directive governs the discharge o f  
“warning" shots.
Commentary: Warning shots pose a danger to of­
ficers and citizens alike.
(M M M M M M)

1.3.6 A written directive governs the carrying o f side 
arms and ammunition while o ff duty.
Commentary: The policy should specify the cir­
cumstances under which an officer may or may not 
carry a side arm and ammunition while off duty.
(M M M M M M)

1.3.7 A written directive governs the use o f 
nonlethal weapons by agency personnel.
Commentary: Agency personnel usually have
numerous nonlethal weapons at their disposal. The

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intent of this standard is to ensure the proper use of 
such weapons as blackjacks, batons, saps, and tear 
gas dispensers. (M M M M M M)

1.3.8 A written directive establishes criteria for 
authorizing the carrying o f nonissued, personal 
firearms.
Commentary: The intent of this standard is to ensure 
that poor quality or inherently dangerous firearms 
are not used by officers. A firearm meeting accepted 
criteria should, furthermore, be expected to be in 
satisfactory working condition. The directive should 
address areas such as caliber, barrel length, type of 
weapon, identification of weapon, whether the officer 
is qualified to use the weapon, and policy concerning 
on- and off duty use of the weapon.
(M M M M M M)

1.3.9 A written directive requires that a written 
report be submitted whenever an officer discharges a 
firearm, other than in training or for recreational 
purposes.
Commentary: The intent of this standard is to ensure 
that officers who accidentally or intentionally dis­
charge a weapon submit a written report of the inci­
dent. The officer involved (if physically able) should 
be required to submit the report within a specified 
time period. The report should set forth all circum­
stances surrounding the incident. If the facts of the in­
cident support a conclusion that the shot was the 
result of negligence, the officer should be required to 
undergo firearms certification training again.
(M M M M M M)

1.3.10 A written directive requires that only officers 
demonstrating a proficiency in the use o f agency- 
authorized firearms, in addition to authorized side 
arms, be allowed to carry such weapons.

Commentary: The intent of this standard is to cover 
the carrying of weapons such as shotguns, tear gas 
guns, or automatic rifles. Demonstrated proficiency 
includes achieving minimum scores on a prescribed 
course, attaining and demonstrating a knowledge of 
the laws concerning the use of firearms, and being 
familiar with recognized safe-handling procedures for 
the use of these weapons. (M M M M M M)

1.3.11 A written directive requires each sworn of­
ficer to qualify at least annually with any firearm that 
the officer is authorized to use.

Commentary: The written directive should describe 
the score required for qualification, target type, tim­
ing, distance, and other conditions. Qualification 
should involve not only the actual firing of the 
weapon but also a passing score on a “what, when, 
where, and how" type of written test based on the 
training provided. (M M M M M M)

1.3.12 A written directive requires that only 
weapons and ammunition meeting agency-authorized 
specifications be used in the performance o f duty.

Commentary: Control should be maintained for 
reasons of safety and civil liability.
(M M M M M M)

1.3.13 A written directive requires a written report 
be submitted whenever an officer:

• takes an action that results in (or is alleged to have 
resulted in) injury or death o f another person; 
and/or

• applies force through the use o f nonlethal 
weapons.

Commentary: The standard is intended to require a 
written record of the circumstances surrounding in­
jury or death that results from, or is alleged to result 
from, actions by officers. The report should address 
use of physical force, use of lethal and nonlethal 
weapons, or any other action resulting in injury or 
death, including traffic accident. The standard is not 
intended to document the display of weapons by of­
ficers. (M M M M M M)

1.3.14 The agency has a procedure for reviewing in­
cidents in which there is application o f force through 
the use o f a weapon by agency personnel.

Commentary: The standard provides for latitude in 
categorizing cases to be reviewed through different 
procedures. The procedure should include reviewing 
incidents in which agency personnel discharge a fire­
arm, whether on or off duty. This standard does not 
apply to firearms training, hunting, or participation in 
legitimate sporting events. (M M M M M M)

1.3.15 The procedures required in standard 1.3.14 
include a report o f  findings to the agency's chief ex­
ecutive officer.

Commentary: The report of findings should include 
the relevant facts and circumstances surrounding the 
incident, and a conclusion as to whether the dis­
charge violates an agency directive.
(M M M M M M)

1.3.16 A written directive requires the removal o f  
any officer from line-duty assignment, pending ad­
ministrative review, whose use o f  force results in a 
death.

Commentary: The purpose of this standard is 
twofold: (1) to protect the community’s interest when 
officers may have exceeded the scope of their author­
ity in the use of deadly force; and (2) to shield officers 
who have not exceeded the scope of their authority 
from possible confrontations with the community.
(M M M M M M)

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Glossary
TOPICAL AREA; LAW ENFORCEMENT ROLE AND 
AUTHORITY
GENERAL ORDER; A term used by some agencies to 
describe permanent directives concerned with policy, rules, 
and procedures affecting more than one organizational 
component.
INSTRUCTIONAL MATERIAL; Training guides, bulletins, 
and checklists.
MEMORANDUM; An informal, written document that may 
or may not convey an order; it is generally used to clarify, 
inform, or inquire.
PERSONNEL ORDER; An announcement of changes in the 
status of personnel, such as a transfer or promotion.
POLICY; A written directive that is a broad statement of 
agency principles. Policy statements may be characterized 
by words such cis "may” or "should" and usually do not 
establish fixed rules or set procedures for conduct of a par­
ticular activity, but rather provide a framework for develop­
ment of procedures and rules and regulations.
PROCEDURE; A written directive which is a guideline for 
carrying out agency activities. A procedure may be made 
mandatory in tone through the use of "shall" rather than 
"should," or "must” rather than "may." Procedures 
sometimes allow some latitude and discretion in carrying 
out an activity.

REASONABLE BELIEF; When facts or circumstances the 
officer knows, or should know, are such as to cause an or­
dinary and prudent person to act or think in a similar way 
under similar circumstances.
RULES AND REGULATIONS; A specific directive from 
which no deviation or exceptions are permitted.
SERIOUS PHYSICAL INJURY; A bodily injury that creates 
a substantial risk of death; causes serious, permanent 
disfigurement; or results in long-term loss or impairment of 
the function of any bodily member or organ.
SPECIAL ORDER; Directives affecting only a specific seg­
ment of the organization or statements of policy or pro­
cedure regarding a specific circumstance or event that is of 
a temporary nature.
WRllTEN DIRECTIVE; Any written document used to 
guide or affect the performance or conduct of agency 
employees. The term includes policies, procedures, rules 
and regulations, general orders, special orders, and instruc­
tional material.

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