12

DIRECTION

Standards in this chapter relate to direction and supervision. They are concerned with chain of command, chief executive officer authority, supervisory accountability, and a written directive system.

Accredited agencies must have a formal written directive system. The system can be in paper or electronic form. Components of the written directive system should be suited for the specific communications needs and capabilities of the agency. Clarity and rapid access to information are essential to effective implementation of agency written directives.

The agency’s written directive system should evolve from its legal authority, core values, and mission statement. All agency personnel should have a clear understanding of their individual discretionary powers in carrying out their duties in accordance with agency written policy, procedure, rules and regulations.

The glossary terms "written directive," "policy," "procedure," and "rules and regulations" should be reviewed carefully before assembling proofs of compliance for written directive standards to avoid confusion with agency terminology. Some standards require a specific category of written directive. For example;

A "written directive" is a general term, encompassing other categories;

A "policy" is broad declaration of agency intent, goals, mission, etc;

A "procedure" contains step-by-step guidelines or requirements; and

A "plan" is developed in anticipation of a future event.

To ensure proper compliance with each standard, carefully compare the proofs of compliance with the type of directive listed in the standard statement.

 

12.1 Direction

12.1.1 A written statement issued by a unit of government, a law or ordinance, or combination thereof designates the authority and responsibility of the chief executive officer.

Commentary: None.

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12.1.2 A written directive establishes the command protocol for the following situations, at a minimum:

a. in the absence of the chief executive officer;

b. in exceptional situations;

c. in situations involving personnel of different functions engaged in a single operation; and

d. in normal day-to-day agency operations.

Commentary: A system of succession should be established to ensure that leadership is available when the agency’s chief executive officer is incapacitated, off duty, out of town, or otherwise unable to command. For anticipated absences for extended periods, the CEO should designate, in writing, an "acting" authority. Command also may be predetermined for certain emergency or unusual occurrences (see Chapter 46) and for specific operational activities. Command protocol should clarify authority, alleviate confusion, and ensure uninterrupted leadership (see 61.2.3).

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12.1.3 A written directive requires employees to obey any lawful order of a superior, including any order relayed from a superior by an employee of the same or lesser rank. The directive must also include procedures to be followed by an employee who receives a conflicting or unlawful order.

Commentary: None.

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12.1.4 A written directive establishes procedures for communication, coordination, and cooperation among all agency functions.

Commentary: All functions should encourage and support the exchange of information with specialized and support components for the purpose of coordinating activities. There are a number of ways to communicate information, such as attendance of investigative personnel at patrol shift briefings (see 42.2.6), staff meetings, e-mail, voice mail, other electronic systems, and exchange of daily bulletins.

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12.2 Written Directives

12.2.1 The agency has a written directive system that includes, at a minimum, the following:

a. agency values and mission statement;

b. a policy statement that vests in the agency’s chief executive officer the authority to issue, modify, or approve agency written directives;

c. identification of the persons or positions, other than the agency’s chief executive officer, authorized to issue written directives;

d. a description of the written directives system format;

e. procedures for indexing, purging, updating, and revising directives;

f. statements of agency policy;

g rules and regulations;

h. procedures for carrying out agency activities; and

i. procedures for review of proposed policies, procedures, rules, and regulations prior to their promulgation.

Commentary: The agency should establish a formal written directive system to provide employees with a clear understanding of the constraints and expectations relating to the performance of their duties. The written directive system should permit rapid access to individual policies, procedures, and rules and regulations and should differentiate types of directives, e.g., general order, special order, personnel order.

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12.2.2 A written directive establishes procedures for the dissemination and storage of agency written directives, and addresses at a minimum, the following:

a. dissemination of existing, new, or newly revised directives to all affected personnel whether (1) in hard-copy form or (2) through a computerized documentation system, backed up by hard copies of the directives in sufficient number to place at specified accessible locations for reference by all personnel affected by the directives;

b. storage of written directives whether (1) by their incorporation into manuals or (2) by their storage in a computerized documentation system and placement of hard copies in manuals put at specified accessible locations for reference by all personnel affected by the directives; and

c. acknowledgment indicating receipt and review of disseminated directives by affected personnel whether in written form or in some other way that is at least equally effective.

Commentary: Regarding the option of disseminating written directives in hard-copy form (for example, typewriter, photocopies, or printed directives), the agency may either distribute the directives to each person affected by them or place the directives at specified locations if timely access to the directives for reference by affected personnel can be assured. Regarding the computerized dissemination system, back-up hard copies are placed at specified accessible locations so that personnel can refer to directives in a timely manner when, for example, the computerized documentation system is not operating or otherwise inaccessible.

Bullet (c) requires that, within a reasonable period after issuance, employee receipt and review is documented. In the context of a computerized documentation system, "receipt" means that an issued directive has been electronically accessed, or printed out, by the intended recipient. "Acknowledgment" means the recipient creates a record of each receipt and review. The task of assuring that recipients correctly understand written directives is, in part, a function of training, such as noted in standards 33.4.1, 33.5.1 and 33.7.1.

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