Improving Law Enforcement Capacity to Counter ... - UNODC

Section 2: Recommended Training Academy Elements for Improved Border Control

Improving Law Enforcement Capacity to Counter Transnational Organised Crime

Module 5: Standard Operating Procedure Development (SOP), Policy Examples

Copyright © United Nations Office on Drugs and Crime, June 2014. Disclaimer: This report was produced by the United Nations Office for Drugs and Crime, Regional Office for Southeast Asia and the Pacific, in Bangkok, Thailand. This is not an official document of the United Nations. The content of this publication does not necessarily reflect the views or policies of UNODC, Member States, or contributory organizations, nor does it imply any endorsement. The designations employed and the presentation of the material in this document do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations Office on Drugs and Crime.

UNDOC Guide to Model Border Academy – Standard Operating Procedures

UNODC Regional Office for Southeast Asia and the Pacific i

ContentsPurpose of SOPs.....................................................................................................................................................1Advantages and Disadvantages of SOPs .............................................................................................................2How to write SOPs................................................................................................................................................3Regulation Writing & Examples.....................................................................................................................4Introduction: ..................................................................................................................................................................4Steps in Developing Policy/Regulations.............................................................................................................5Understanding Policy Design & Term Elements .............................................................................................8Terminology...................................................................................................................................................................9Example 1: SOP Design of SOPs...................................................................................................................10Example 2: SOP Design of Administrative Functions ....................................................................... 13Example 3: SOP Design of Property Control .........................................................................................14Example 4: SOP Design of Quality Assurance Program................................................................... 16Example 5: SOP Design of Procedures for Maintaining Protective Training Gear .............17Example 6: Policy & Directives....................................................................................................................19Example 7: Syllabus Design I........................................................................................................................29Example 8: Syllabus Design II ......................................................................................................................30Example 9: Instructor Guide.........................................................................................................................31Example 10: Guide for Syllabus Development.....................................................................................32Example 11: Terminal Performance Objectives (TPOs) ................................................................. 33Example 12: Practice TPO Worksheet ..................................................................................................... 34Example 13:‘True Conditions’ - Vocabulary Recognition...............................................................35Example 14: ‘Proficiency’ Standards - Vocabulary Recognition .................................................36Example 15: Instructor Evaluation Form...............................................................................................37Example 16: Training Project Tracking Sheet......................................................................................40Appendix ................................................................................................................................................................42Code of Conduct: BSA Officials............................................................................................................................. 42Code of Conduct: Instructors................................................................................................................................ 45Building a Academy Culture of Respect & Honour......................................................................................46References .............................................................................................................................................................48


UNODC Regional Office for Southeast Asia and the Pacific 1

Purpose of SOPsSOPs provide for the uniform execution of a task, ensuring that every person who performs the taskdoes it the same every time it is performed. SOPs are used to supply instructions for performingrecurring activities and reacting expected events.1

An Academy SOP must be compulsory instruction. If deviations from any instruction are allowed, theconditions for these should be documented including who can give permission for this and whatexactly the complete procedure will be.2

Examples of Types of SOPs:

Fundamental SOPs. These give instructions how to make SOPs of the other categories. SOPs on classroom setup

o Classroom Safetyo Equipment Operation

SOPs on Range Training Operationso Driver Training SOPso Firearms Training SOPso Physical Training SOPso Mock/Role-play Training SOPs

Methodical SOPs. These describe a complete testing system or method of investigation. SOPs for safety precautions. Standard procedures for operating instruments, apparatus and other equipment. SOPs for analytical methods. SOPs for the preparation of reagents. SOPs for receiving and registration of weapons. SOPs for Quality Assurance. SOPs for archiving and how to deal with complaints.

Note: The number and types of SOPs will depend on Types of training provided at the academy andthe size of the academy and the services provided.

ContextSOPs can be used wherever a regular routine exists. Because LEO training and support servicesinvolve many regular tasks and procedures SOPs are excellent tools to develop. Plus since theacademy is a government agency SOPs may be required by law or regulation.

FormatSOPs may be a list of instructions, checklist or flow chart. SOPs required for government complianceoften have a dictated template that must be followed.

1 http://www.ehow.com/facts_5916228_purpose-sop_. html#ixzz2eTsa8awO2 http://www.fao.org/docrep/W7295E/w7295e04.htm



Advantages and Disadvantages of SOPs3

Positive Negative

Standardise the activities of personnel withinan organisation to specific procedures, whileimproving the quality and speed of decisionmaking.

SOPs can become more and more restrictive and moreand more detailed, reducing individual liberty andindividual approaches to work. (Leadership shouldreview policy and provide whys for people to use theirbrains to improve procedures.)

Provide a valuable structure for internalcommunication with a key role, within theorganisation, in creating a knowledgemanagement base.

SOPs can become very time-consuming, involving thecompletion of excessive paperwork.

Act as a vehicle for disseminating best practiceswithin the organisation, while updated asconditions and regulatory aspects may require.

SOPs can be extended to cover even the most minoraspects of work, creating a complete controlledenvironment – ideal for bureaucratic managementstyle.

Serve to speed the integration of an individualinto the organisation during the introductorytraining phase, by making available a library oforganisation wide best practice andorganisation operating procedures.

Unless updated with new regulatory requirements andbest practices they will rapidly fall into disrepute.(Review at a minimum every two years.)

Improve transparency within the organisation,by enabling all employees to see how specificactivities are performed in a standard and clearfashion.

Unless they are used by all they will also be seen aspart of a system put in place to mollify employeesrather than as a key universal management tool.

Provide a clear audit trail in cases of dispute orexternal investigation by showing theprocedures followed and records maintained.

Provide a checklist, which is action andimplementation oriented.

Provide highly cost effective maintenancetraining.

Provide valuable background information tochange management policies, by embeddingnew best practice.

3http://www.pathogencombat.com/know%20how/~/media/Adtomic/PatComBilleder/Articles/Guidance%20for%20Standard%20Operating%20Procedures.ashx



How to write SOPsWhen writing academy SOPs follow the ISO (International Organization for Standardization) circle(ISO, Understanding the basics) Plan – Do – Check - Act and consider it as an operating principle:4

Plan establishes objectives and makes plans (analyse the situation of the organisation, establishthe overall objectives and set the interim targets, develop plans to achieve them).

Do Implement the plans (do what it is planned to do). Check measures the results (measure/monitor how far the actual achievements meet the

planned objectives). Act correct and improve plans and how you put them into practice (correct and learn from

mistakes to improve plans in order to achieve better results next time).SOPs are produced for core academy practices and when it is necessary to communicate and/orstandardise administrative or technical tasks. Overall responsibility for deciding the requirementsfor an SOP and its planning and description is the responsibility of the academy supervisors andmanagers.

They will, describe the principle behind or the purpose of the operation. Express what will be accomplished by performing the task. Summarise the methodology.

The identity number of an SOP, the arrangement of material in it and the level of detail dependsentirely on the organisation particularities. It also depends on the requirements and the role of thestaff members executing their work. SOPs should cover:

Provide a descriptive title and indication, of the SOP’s position in the total collection of academydocumentation.

Date, when the SOP became operative. Provide an edition number and a relevant statement if the SOP edition replaces an earlier one. Periodicity of review. The exact distribution list of the SOP. The signature and the name of the person responsible for writing the SOP. The signature and the name of the person responsible for authorising the SOP. The purpose of the SOP. Intent of the SOP. Scope, including functions performed, equipment necessary, types of products to be used Numbered steps Clear definition of:

o A description of procedures.o Those in the organisation to be involved.o Responsibilities.o Procedures for internal and external communication.

Attachments to the SOP description should include copies of all worksheets, logs or forms requiredfor the procedure. Provide examples of how to complete the attachments.When Writing ask yourself the following questions:

What Tools, equipment, weapons, vehicles, etc. must be considered? Why is it important?

4 http://www.iso.org/iso/home/about.htm



What are useful background concepts? What is best practice, in relation to current research findings? What are the regulatory and policy requirements of the organisation, linked to a certain SOP and

leading to relevant documentation? What is the specific activity designed to achieve? What resources are needed to carry it out and are they in place? What tools are needed to implement and measure its achievement? Who will be involved? What kind of documentation support should be designed?

The author of an academy SOP should be very clear on its objectives while writing it. They canbroadly be described as follows:

Define the expected results of implementation, regulatory or organisational. Understand why an SOP needed, who and how will use it. Determine SOP needs and assign local responsibility for management and review. Distinguish between SOPs, guidelines, policy statements and work instructions and learn how

each may work for area of responsibility in a concerted integrated way. Implement appropriate SOP training programs. Integrate SOPs into comprehensive documented actions, operating within the academy. Implement review and control system. Understand the role of academy training safety assurance in SOP systems. Implementation and maintenance Implementing and maintaining an SOP involves:

o Daily monitoring of pre-operational and operational SOP.o Recording the findings of monitoring.o Performing corrective actions as it may be needed.o Documenting all activities as prescribed, including corrective actions.o Revising the SOP as needed. (Do not wait until the review period).

Regulation Writing & ExamplesThis Part of the MBA guide is designed to provide frameworks for developing academy policy andprocedure, and to help policy and procedure owners organize their written documentation, and toact as a resource as they navigate their nations approval process. Found in this ‘how to’ guide ishelpful examples if you are responsible for formulating or documenting new or existing policies andprocedures.Note: UNODC cannot provide examples the meet every nation’s requirements regarding regulationsand policy development, but these recommendations are provided to help the academy get started.

Introduction:Why create policies and procedures? Policies guide the way work is done in an academy. Policy setsthe rules, framework or standards for the operation of the academy. These are some reasons forpolicies:

So people working at the academy can have a framework for actions that helps them get onwith the training or support roles they need to do.

So people in the academy do not have to keep reinventing the wheel - one deliberate decisioncan be applied to many similar cases – this builds efficiency.

So legal, funding agreements, the academy’s constitution and other requirements can be met. A tool in quality improvement



The policies are usually divided into various topics (e.g. Workplace health and safety, financialmanagement, training) and complied into a Policy and Procedures Manual.It is recommended that this manual be placed on a secure intranet that the academy staff can logonto.Why place the manual on a network?Ease of Access- In many LEO training organizations there are too many manuals and loose memosthat create an information flood. Users don’t know what is important. Policy and procedure manualsthat do exist are not always up-to-date and users cannot always find the documents they need tomake informed decisions. An up-to-date, on-line system will permit those who use or are directlyaffected by policies and procedures to have the access they need.Cost Effectiveness- Training and support offices must dedicate resources to maintaining files ofrelevant academy wide policies and procedures. Alternatively, the offices responsible for policymust respond to requests for policy documents, as individual users—using scarce human resourceswithin those offices, which might better be assigned to other training or support activities, whichneed them.Making written policies and procedures readily available and identifying a single office (or positionwithin an office) in the policy (or procedure) documents to which questions can be directed shouldresult in the following benefits:

Less time spent on the telephone (or using e-mail) to locate a person to whom a question can beaddressed;

Fewer errors; and Consistent answers. Responsiveness. The ability to quickly update and disseminate procedures enables the campus

to meet changing customer needs and to adapt to new environments. Accountability. Clearly written, available policies and procedures are one of the foundation

elements of any system in which individuals and units are held accountable for adherence toacademy policies and procedures.

An academy’s policies and procedures manual can quickly become out-of-date if an effective policycoordination function is not coupled with the effort. The creation of a Policy Coordinating Officeresponsible for the maintenance and distribution of policy records and up-to-date procedures, alongwith providing guidance as to policy (and procedure).

Steps in Developing Policy/RegulationsPolicy developmentIf the policy is to be owned by staff, they often want some say in its development. Your processneeds to balance consultation with the reality of time constraints. Sometimes it is useful to adoptthe policy on a provisional basis, and then evaluate how it works in practice, before issuing the finalpolicy. Criteria for good policy include:

Will it be useful for the intended users, e.g., service users, staff and committee members? Does it include policies on all areas relevant for accreditation and legislative requirements of an

academy? Will it improve the likelihood that the training is a quality service and meets the need of the

border agencies?Due to the complexity of an academy the development of an organisational manual can take over a12 to 18 month period a useful dynamic would be: Devote time at a staff meeting at least once amonth to brainstorm issues related to one area of policy and review the draft a policy that has been



prepared based on a previous brainstorming. At every Board/Management Committee meetingdevote some time to reviewing a draft policy and making decisions.

Writing policyAlthough there is a strong case for not reinventing the wheel and hence to copy the policies of otherorganisations, be aware that policies should be tailored to your own circumstances.

There are numerous web sites and commercial publications offering sample policies. But you need to ensure others’ policies really are appropriate to the academy. Be aware that borrowing policies from a range of different sources can result in approaches and

styles of policy, which are not compatible with one another.KIS: Keep it simple. It is better to keep the policy document simple by stating the principlesunderpinning the policy first. This way not much detail must be cover as the principles have beenstated. One way of structuring the policy document would be to have a subheading of ‘policy’ withthe few key points of principle, followed by a subheading of ‘procedure’. Procedures should coverthe most common processes or the processes where the academy or students are at greatest risk.So for example, a service processes might be broken up into: referral, assessment, service delivery,and completion/exit.

Ensure that draft policies include a draft number and date, to allow ease of tracking. Endorsed policies should include a note as to who authorised the policy and when. Ensure that somebody at the academy is responsible for keeping ‘control copies’ of policies and

the production of a policy manual, either on the academy’s intranet or in hard copy.

Implementing policyPolicies count for little unless it is implemented!Consider how to assist existing staff to be aware of the policy and to develop the knowledge andskills for its implementation. This may require special training sessions, memos, etc. Ensure that staffcan ask questions about the policy or express concern if implementation creates difficulties.Consider how to assist new staff to be aware of the policy. For example, do you need to amend theinduction program for new staff? Consider whether there is a need to develop forms or brochures tosupport the implementation of a policy. For example, grievance resolution policies need to besupported by advice to clients and staff on how grievances might be lodged.Staff and management should monitor the implementation of policies. The implementation ofpolicies can be monitored by self-reporting of staff, direct inspection by management, or byindependent audit. It is good practice to review policies periodically, say every two to three years, toensure that they remain relevant. A staff meeting or a Board/Management Committee meetingshould be scheduled once every 12 months to look at the academy manual and ask whether thepolicy in it is still relevant and appropriate. Users of academy policy and procedure documentsinclude individuals in both academic and administrative offices. For example:

Academy administrators, Faculty, Unit/Training Division managers, Administrative support personnel, Academy staff, Individuals who need to understand the ‘rules’ by which the academy must abide, Anyone who fills out forms and wants to generate error-free transactions, Action approvers, Support groups, NGOs and volunteers, Leaders of student organizations,



New employees, Trainers, and Other decision-makers.

Characteristics of good policies

Policies are written in clear, concise, simple language. Policy statements address what is the rule rather than how to implement the rule. Policy statements are readily available to the academy staff and their authority is clear. Designated ‘policy experts’ (identified in each document) are readily available to interpret

policies and resolve problems. As a body, they represent a consistent, logical framework for academy action.

Characteristics of good Procedures (SOP)

Procedures are tied to policies. Making explicit this relationship along with how the procedurehelps the academy achieve its goals or strategic plan helps ensure understanding andcompliance.

Procedures are developed with the customer/user in mind. Well developed and thought outprocedures provide benefits to the procedure user.

There is a sense of ownership among procedure users. For this reason, it helps to involve usersin the development of academy procedures.

The procedures are understandable. Procedures should be written so that what needs to bedone can be easily followed by all users.

When feasible, procedures should offer the user options. Procedures, which are unnecessarilyrestrictive, may limit their usefulness.

Writing Style for Policy

Concise, minimum of verbiage. Factual—double-check accuracy! Don’t include information that may be quickly out-dated (e.g., names). If you use an acronym, spell it out the first time you use it. Include step-by-step instructions for completing (paper or electronic) forms (procedures only). Not too technical—simple enough to be understood by a new employee.



Understanding Policy Design & Term Elements

Headline Banner

The policy title, issuing date, and an identification that which includes: Policy number, PageNumber, Effective Date, ‘Supersedes’ notification, Office of Origin, and Policy ApprovalAuthority. The Policy Number and Page Number would appear on all subsequent pages; thefooter of each page should repeat the Issuing Date and the Policy Title.

Purpose

Purpose of policyDetailed policy statementNote: The policy title should be carefully selected so that it is simple and clearly conveys thepolicy’s content.A concise statement of the rationale for the policy, including if appropriate, reference toexternal regulations, further policy discussion, etc. Summary (one paragraph) clearly statingthe important policy content.Complete policy statement. If the effective date is different from the issuing date in theheadline banner, and then an appropriate discussion of when the policy applies should beincluded with the policy statement.

Applicability

Exactly whom the policy applies to and the consequences for non-compliance, if applicable.Definitions of terms (as needed)

Cognizant office(s)

The office and specific individual position title (with telephone number andGetting Help- (electronic mail address, as appropriate) that should be contacted forinterpretations, resolution of problems, and special situations.

Policy authority

The highest administrative or academic officer or group authorizing the policy. If appropriate,one might also note the next required review date.

Related policies/ References for more information

Information about related policies or procedures, guidelines, forms, etc. Give completereferences and ensure that documents cited are readily available (i.e., either as widelydistributed manuals such as the Business and Finance Bulletins, Accounting Manual, Contractsand Grants Manual; or available in the on-line campus Policies and Procedure Manuals). Ifneeded, provide additional background discussion here.

Implementation procedures

Reference to detailed procedures that are recommended in order to carry out the intent of thepolicy.



TerminologyAppointment – Employment with the Border Academy through a contract of employment

hereinafter referred to as ‘letter of appointment’.Assignment – Employment with the Border Academy, or a Border Protection Agency by secondment

through a contract of employment hereinafter referred to as ‘terms of assignment’.Contracted Staff – Person appointed to the Border Academy through a letter of appointment.Dependents – The spouse and/or children of Border Academy officialsDeputy Head of Institution – Person designated as such by the Border Academy Chairmanship.Deputy Head of Mission (if Appropriate) – Person designated as such by the Border Academy

Chairmanship.Detailed Staff – Person that has been assign to the academy staff to support training from a

participating agency or nation.Director – Staff member holding this position has the rank of Senior Police Officer or Civilian

Executive Rank.Duty Station – Place where the staff member is working or where a mission member is deployed to

support the Border Academy.Fixed-Term Appointment/Assignment – Appointment or assignment to the Border Academy, for a

definite period of six months or more.Fixed-Term Staff/Mission Member – Person holding a fixed term appointment or assignment.Head of Border Academy – The head the entity designated as a Border Academy by the governing

ministry or department.Host Country – Country where the Border Academy or an institution is established or where a

mission operates according to its mandate as defined by the participating States.Institution – Any entity designated as such by the participating States.Local Staff Member – Contracted staff member holding a local post or staff member who is a

national or permanent resident of the country of the duty station.Attached are examples of SOPs from academies and LEO training agencies. These are provided asgo-byes for developing academy focused SOPs base on needs, government policy, and trainingobjects.



Example 1: SOP Design of SOPsPurposeTo establish the process and format used in the development, implementation and maintenance ofthe Model Border Service Academy ‘Standard Operating Procedures’ (SOP).

ScopeThe provisions herein apply to all BORDER SERVICE ACADEMY personnel.

DefinitionsStandard Operating Procedure (SOP) - is a set of written instructions that documents a routine orrepetitive activity followed by an organization. SOPs have the force of a directive. The developmentand use of SOPs are an integral part of a successful quality system as it provides individuals with theinformation to perform a job properly, and facilitates consistency in the quality and integrity of aproduct or end result.

PurposeDescribes actions and/or the work processes that are to be conducted or followed within anorganization.

ScopeStatement detailing the individuals, positions, offices, or circumstances governed by the SOP.

ReferencesProvides a link to the official doctrine utilized to formulate the SOP.

ResponsibilitiesAssigns responsibility as appropriate for following and/or completing a specific task or process.The (Title of Responsible Person) is the ‘BORDER SERVICE ACADEMY SOP Issuing Authority’.Responsible for the implementation and currency of all SOPs.Enforcing the provisions of SOPs.Setting all timelines in the development, review, and issuance process.Ensuring the BORDER SERVICE ACADEMYSOP Format is adhered to.Conducting an annual review of all SOPs in accordance with the BORDER SERVICE ACADEMY QualityAssurance Program.Ensuring that SOPs are available to all staff at all times.

BORDER SERVICE ACADEMY Staff Specialist:The BORDER SERVICE ACADEMY Staff Specialist is responsible for all SOP record keeping.BORDER SERVICE ACADEMY Staff: The BORDER SERVICE ACADEMY staff will be conversant withBORDER SERVICE ACADEMY SOPs.

PolicyThe (Title of Responsible Person) is the issuing authority for all BORDER SERVICE ACADEMY SOPs. AllSOPS will require the (Title of Responsible Person’s) approval for development and distribution.



All BORDER SERVICE ACADEMY SOPs will include the following format (See attached models): CoverSheet, Purpose (1.0), Scope (2.0), Definitions (3.0), References (4.0), Responsibilities (5.0), Policy(6.0), and Procedures (7.0) or combination of Policy & Procedures. If warranted, in somecircumstance the (Title of Responsible Person) may authorize the inclusion of a Background and/orMethodology statement.The (Title of Responsible Person) will assign the SOP a number according to the SOPs sequencewithin the following guidelines:

Leadership and Management 100Administration 200Space and Property 300Safety and Environmental 400Security 500Fiscal Responsibility 600Staff Development and Training 700Training Operations 800BORDER SERVICE ACADEMY Operations 900

The BORDER SERVICE ACADEMY SOP Disclosure Office will be consulted prior to any informationcontained in a BORDER SERVICE ACADEMY SOP being released. The (Title of Responsible Person)validates all SOPs annually. SOPs are revised or new SOPs issued the Staff Specialist ensures that out-dated SOPs are archived, new SOPs are posted on the Indicate drive and distributed to all BORDERSERVICE ACADEMY personnel.

ProceduresBORDER SERVICE ACADEMY personnel and/or the (Title of Responsible Person) identify the need foran SOP.The (Title of Responsible Person) authorizes the development of the SOP and assigns a ‘SOPDeveloper’.The (Title of Responsible Person) establishes all timelines for research, development and review ofthe SOP and notifies the SOP Developer and the Staff Assistant.

The SOP Developer drafts the SOP and ensures that all BORDER SERVICE ACADEMYpersonnel are provided an opportunity to provide their input.The SOP Developer finalizes the SOP, incorporates recommendations as appropriate.The SOP Developer provides the (Title of Responsible Person) with a final draft, allcomments received during the review process, and if necessary an explanation for notincluding a specific recommendation. The (Title of Responsible Person) will concur ordetermine the appropriate course of action.The (Title of Responsible Person) determines if the SOP is complete and accurate, approvesthe SOP, issues a number and notifies the Staff Assistant for posting and record keeping.

MethodologyOrganizational (MODEL BORDER SERVICE ACADEMY) effectiveness requires a balance of principle-cantered leadership and effective management practices.



The synergistic creation of ‘standards’ of procedures for BORDER SERVICE ACADEMY operationspromotes ‘best practices’ for MODEL BORDER SERVICE ACADEMY, its staff and stakeholders—enhancing MODEL BORDER SERVICE ACADEMY’s effectiveness and efficiency.Putting collective knowledge rendered and shared into an easily accessible location makes us allmore effective, provides guidance and lessens the disruption of any individual’s absence ordeparture.Policies and environments change and our operating procedures must be kept current and accurate.

_____________________Name Date(Title of Responsible Person)BORDER SERVICE ACADEMY



Example 2: SOP Design of Administrative FunctionsPurposeDesignates the primary and back up responsibilities for specific administrative functions.

ScopeThe provisions herein apply to the functions described in this SOP.

DefinitionsNone

ReferencesNone

Responsibilities(Title of Responsible Person) serves as the primary keeper of Time & Attendance.(Title of Responsible Person) serves as the primary Property Custodian.(Title of Responsible Person) serves as the primary Budget Liaison/Tracker.(Title of Responsible Person) serves as the primary Credit Card holder.(Title of Responsible Person) serves the backup to the (Title of Responsible Person) for theaforementioned responsibilities (A-D).(Title of Responsible Person) is responsible for the staff training activities.(Title of Responsible Person) is the primary Key Custodian.(Title of Responsible Person) is the primary approving official for travel, purchases, and leave.(Title of Responsible Person) serves as the backup to the Division Chief as approving official fortravel, purchases, and leave.

POLICYThe (Title of Responsible Person) will designate the primary and back up responsibilities for specificadministrative functions.

_____________________Name Date

(Title of Responsible Person)

BORDER SERVICE ACADEMY



Example 3: SOP Design of Property ControlPurposeTo define the procedures and responsibilities for management, control and access to property of theBorder Service Academy assigned to the Name of Parent Organization.

ScopeThe provisions herein apply to all Border Service Academy personnel, contractors, visiting instructorsand other temporary personnel assigned to or utilizing Border Service Academy property orequipment.

DefinitionsSee Glossary in Border Service Academy Directive 0000, Personal and Real Property Management (Inparent organizations directives there should be a glossary)

ReferencesPersonal and Real Property Management (Site directives and policy and hyperlink if documents areavailable in E-format)

ResponsibilitiesThe Border Service Academy (Title of Responsible Person) is the Certifying Official and is responsiblefor all property assigned to the Border Service Academy. The Responsible Person will:

Designate the property custodian Schedule an annual property inventory. Designate inventory taker(s) other than the property custodian. The Border Service Academy Property Custodian will be responsible for duties as documented in

(Name parent organizations directives). All Border Service Academy Staff will be responsible for securing their offices and assigning

secure spaces for any property therein and for ensuring that shared property is appropriatelysecured.

PolicyAll Border Service Academy personnel will familiarize themselves with Name of Parent OrganizationAccountable property items will not be relocated or ‘loaned’ to non-BORDER SERVICE ACADEMYpersonnel without the written authorization of the Responsible Person or the Property Custodianprovided that laptop computers (or other equipment) designated for BORDER SERVICE ACADEMYstudent use may be issued to students for the duration of their BORDER SERVICE ACADEMY trainingprogram.All staff will lock classrooms and the Supply room (ID #) in Building (Address), when not in use.Supply room (ID #) will be kept locked whenever unattended.Border Service Academy personnel are prohibited from direct or indirect purchase of Border ServiceAcademy/government property and equipment.

ProceduresWhen property is transferred from one Border Service Academy organization to another, a PropertyAccounting Change Report, (Create a Form to Control), will be completed, initialled or signed by thesupervisor, and a copy sent to a Central Property Unit. (ID this person or Unit)



If personal property is moved from the area of accountability, which is the BORDER SERVICEACADEMY offices, classrooms, breakout rooms, etc. the employee must obtain written authorizationfrom the Responsible Person. If approved, the Property Custodian will complete an InventoryControl Form. (Should create form with control #)When the property is not expected to leave the boundaries of the Border Service Academy, includingitems that are being repaired, a Temporary Personal Property Receipt form will be completed.(Should create form with control #)If property will be removed from the boundaries of any Border Service Academy site (including TDYassignments, export training purposes, etc.), both the Temporary Personal Property Receipt and theSite Removal Authorization portions of the form must be completed. Staff is responsible for initiatingthese actions with the Property Custodian.Upon discovery, staff will immediately report any missing accountable property items within 2working days to the (Title of Responsible Person). The Property Custodian will notify the (Title ofResponsible Person) in writing, as outlined in (Name parent organizations directive. Items missingduring TDY will be reported telephonically upon discovery and then in writing within two workingdays after return.Classroom property will not be moved or relocated without prior approval, notification, anddocumentation by the Property Custodian.Excess, unusable, or unneeded property will be disposed of promptly.Information technology equipment will be disposed of by transferring the equipment (parentorganization’s policy and directives should be indicated) or the Hard-Drive to be deleted. Theproperty manager will transfer to for disposalNon-IT equipment will be disposed of by transferring property to the property manager, along with aSurvey Report form (report), if the item does not work or is broken in any way.

_____________________

Name Date

(Title of Responsible Person)

BORDER SERVICE ACADEMY



Example 4: SOP Design of Quality Assurance ProgramPurposeTo establish Border Service Academy’s Quality Assurance Program (QAP). The QAP provides aplanned, systematic approach to reviewing, updating and reporting the status of critical operatingprocedures and work products. The QAP Master Checklist (attached) outlines review items, keepersof records, review and update frequencies and the responsible position.

ScopeThe provisions herein apply to all Border Service Academy personnel.

DefinitionsNone

ReferencesNone

ResponsibilitiesDivision Chief:Title of Responsible Leader is responsible for the implementation and enforcement of this SOP.Title of Responsible Leader approves additions to the Quality Assurance Master Checklist.Title of Responsible Person maintaining an updated Quality Assurance Master Checklist.

Policy and ProceduresThe policies and procedures used to review and update items on the Border Service AcademyQuality Assurance Master Checklist are established by responsible positions.




Example 5: SOP Design of Procedures for Maintaining ProtectiveTraining GearPurposeTo establish Border Service Academy’s procedures for maintaining Protective training gear (example:Redman). NOTE: This type of training equipment will come in contact with body fluids; thus there isa safety issue. Student and staff safety must address when designing these types of SOP(s).

ScopeThe provisions herein apply to all Border Service Academy personnel teaching defensive techniquesor other training that uses this type of gear.

Definitions(‘Redman’) - Simulation suits that are used for safety during simulation training in use of force typetraining. (i.e., Baton, Boxing, Simulation Firearms…)

References

Policy, Laws and directives should be sighted here. Given the topic health and safety locations should be sighted. http://www.hse.gov.uk/pubns/guidance/oce23.pdf http://www.hse.gov.uk/pubns/guidance/oce23.pdf http://www.uq.edu.au/ohs/pdfs/bloodguideline.pdf http://www.cdc.gov/healthywater/pdf/swimming/resources/cleaning-body-fluid-spills-

factsheet.pdf

ResponsibilitiesResponsible Leader (i.e., Lead Instructor During Training):Title of Responsible Leader is responsible for the implementation and enforcement of this SOP.Each time equipment is serviced record the date, time and name of person who serviced theequipment.Title of Responsible Person will ensure:Cleaning and Disinfecting - Disinfecting is essential after each use, between users when gear isshared, whenever it comes into contact with blood or other body substances, and before storing.Sanitize the gear with an approved natural spray disinfectant or a fresh, mild bleach solution (1/4cup bleach per gallon of water).Pre-clean the gear to remove any blood or other body substances using Standard Precautions,combining Body Substance Isolation and Universal Precautions (including the use of appropriatecleaning gloves, the isolation of substances, proper disposal of contaminated items, etc.) as definedby OSHA (or your nation’s regulation agency and health ministry). These procedures will helpprevent infection by blood borne and other pathogens, including HIV/AIDS and Hepatitis. (Seeaddition Information ‘provides attachment’.)Safety Warning- Porous, non-waterproof surfaces of the gear may absorb pathogenic, disease-causing microorganisms. Appropriate procedures and disinfecting agents will help reduce the risk ofpersonal infection and disease but are not guarantees against them.Always review the recommendations in this product guide for cleaning and disinfecting and followyour agency’s policy and procedures to help minimize health risks.



Review the equipment recommendations for cleaning and disinfecting and follow your agency’spolicy and procedures to help minimize health risks. (i.e., masks, gloves…) Provide those here.

Policy and ProceduresRestrict access to the area where cleaning will take place.Wear gloves (latex or nitrile) to protect your hands.Use additional personal protection equipment, as needed (e.g., leak-proof apron and/or eyeprotection).Use disposable towels or mats to soak up fluids.Thoroughly cover the gear with the disinfectant or bleach solution.Leave wet for 10 minutes for broad-spectrum disinfecting before wiping dry, or allow to air dry.Wipe away any bleach residue.Wash vinyl-dipped foam equipment, including straps, regularly with warm, soapy water. This willhelp keep equipment free of doors and help prevent deterioration of the coating from perspiration.Put all contaminated towels and waste in a Red Bag or other appropriate sealed, labelled (Biohazardsymbol or label), leak-proof container. Hazardous Material disposal procedures should be followed.Storage - After cleaning, disinfecting, and drying the equipment, place it in an appropriate gear bagor in plastic bags and boxes large enough to pack it without compressing it.Place equipment loosely with elastic straps folded back and attached to themselves, except theHeads and Body Guards, which should have straps attached as if in use.Do not stretch the straps for storage as this will reduce their elasticity and may compress and distortthe gear.Ensure that the equipment is packed so that it wrinkles do not occur. Wrinkles may develop tears inthe creases.

Store equipment in a cool, dry place. Do not expose to direct sunlight or extreme temperatures as these may cause hardening or

softening of the foam. To avoid crushing, do not place objects on top of the equipment.




Example 6: Policy & DirectivesSection 1: Scope and PurposeThese Policy & Directives embody the fundamental conditions of service, duties, obligations andrights of Border Academy officials. They set out the broad principles of personnel policy for therecruitment and administration of Border Academy officials.

ApplicabilityThese Policy & Directives shall apply to:

The Border Academy heads of training units and the heads of Academy as specified herein and intheir letters of appointment or terms of assignment.

Staff members and detailed members, excluding those employed on an hourly or daily basis.

AuthorityIn implementing these Regulations, the Academy Director, as the Chief Administrative Officer, shalldevelop and issue the corresponding Staff Rules, in conformity with these Regulations and thepolicies enshrined therein, and shall ensure their proper implementation.The Staff Rules shall be communicated to the appropriate ministry, or department prior to theirpromulgation and entry into force, in order to provide participating border agencies with theopportunity and sufficient time to make their views known.

AccountabilityThe Academy Director shall be responsible and accountable to the Permanent Council for the properapplication of the Staff Regulations and Staff Rules. In this regard, heads of Training Operations andheads of Academy Administration shall exercise their responsibility to the Permanent Council inrespect of their institution/mission, through the Academy Director.The Academy Director shall monitor compliance with these Regulations and Rules within the BorderAcademy and ensure that any such corrective action as may be required is taken.

Delegation of AuthorityThe Academy Director, the heads of institution and the heads of mission may delegate theirauthority under these Regulations to their authorized representatives. Such delegation of authorityshall not relieve them from their responsibility and accountability.

Section II: Duties, Obligations and Privileges

Conduct & Ethics of Academy OfficialsBorder Academy officials shall conduct themselves at all times in a manner befitting the status of acivil servant. They shall not engage in any activity, which is incompatible with the properperformance of their duties with the Border Academy. They shall avoid any action and, in particular,any kind of public pronouncement which may adversely reflect on their status as well as on theintegrity, independence and impartiality of their position and function as officials of the BorderAcademy.By signing the letter of appointment or terms of assignment, Border Academy officials shall agree todischarge their functions and regulate their conduct with the interests of the Border Academy onlyin mind and neither to neither seeks nor accepts instructions from any Government or from anyauthority external to the Border Academy. In the performance of their duties, staff/detailedmembers shall be subject to the authority of and be responsible to the Academy Director and theirrespective head of institution or head of department. Border Academy officials shall undertake to



abide by the Border Academy Code of Conduct set out in Appendix (#) of these Regulations andRules, of which the Code of Conduct is an integral part.Border Academy officials shall at no time use their official position to private advantage. Rule (####)— Honours, Gifts or RemunerationWithout prejudice to clause 7 of the Code of Conduct, if refusal of an unanticipated honour,decoration, favour or gift from a Government would cause embarrassment to the Border Academy,the staff/mission member concerned may receive it on behalf of the Border Academy and thenreport and entrust it to the (Indicate Control Authority).Academy Director or to the respective head of institution unit, who will either retain it for theBorder Academy or arrange for its disposal for the benefit of the Border Academy or for a charitablepurpose.Staff members shall not receive any remuneration from any source external to the Border Academywithout prior permission from the Academy Director or their respective head of institution unit. Thisprovision does not apply to remuneration paid to seconded Border Academy officials by theirrespective seconding country nor to reimbursement of travel and subsistence expenses paid by thirdparties, for activities authorized by the Border Academy.Staff/mission members shall not accept any gratuity or favour from any commercial firm orindividual doing or seeking business with the Border Academy.Should the Academy Director or heads of institution receive honours, gifts, decorations, favours orother emoluments from a Government or source external to the Border Academy, they shall reportto the Ministry or Department.

Disclosure of InformationBorder Academy officials shall observe maximum discretion with regard to all matters relating to theactivities of the Border Academy. They shall at no time use, disseminate and/or publish informationknown to them by reason of their official position, except in connection with the discharge of theirfunctions. They shall maintain due discretion regarding the matters related to the activities of theBorder Academy upon separation from the Organization.

Privileges and ImmunitiesThe Academy Director, the heads of institution and heads of Units, as well as staff members andinternational mission members shall enjoy the privileges and immunities to which they may beentitled by national legislation or by virtue of bilateral agreements concluded by the BorderAcademy relating to this matter. Local staff/mission members shall enjoy privileges and immunitiesonly to the extent granted to them by the respective host State under national legislation andrelevant bilateral agreements which may be concluded between a State and the Border Academy.Privileges and immunities granted to Border Academy officials are conferred in the interests of theBorder Academy and not for personal benefit.Such privileges and immunities shall not exempt Border Academy officials from respecting the lawsand regulations of the host country.The Academy Director shall decide, in consultation with the Ministry/Department, whether immunityof a staff/mission member should be waived. Immunity of the Academy Director, the heads ofinstitution and the heads of units may be waived by the Ministry/Department, who shall inform theAppropriate Government Ministry of his intention to do so.



Rule — Privileges and ImmunitiesIn cases where an issue arises regarding the application of privileges and immunities, thestaff/mission member shall immediately report the matter to the Academy Director through therespective head of their unit.The Academy Director, the heads of institution and the heads of units shall report to the Ministry inthe event that an issue arises regarding their privileges and immunities.

Rule— Obligation to Supply InformationStaff/mission members shall, on appointment or assignment, supply the Border Academy with anyrequested information relevant to their appointment or assignment, including information relatingto matters prior to their appointment or assignment which is relevant to their employment with theBorder Academy.Staff/mission members shall notify without delay the Academy Director,Through the respective head of institution, in writing of any event affecting their status under theStaff Regulations and Staff Rules. In particular, they shall give such notification on:

Any change in their nationality; Any change in their family or dependency status, in the event that such a change affects their

entitlements; Any arrest, indictment or court summons as a defendant in criminal proceedings or conviction,

fine or imprisonment for the violation of any law. Fines for minor traffic or administrativeviolations are excluded.

The Academy Director may at any time require staff members and/or by the respective head ofunit/institution to supply information relevant to their functions or their conduct.The above-mentioned provisions also apply to the heads of institution and to the Academy Director,who shall supply the information to the Ministry.

Intellectual PropertyAll rights, including title, copyright and patent rights, in any work performed by Border Academyofficials in fulfilment of their official duties shall be vested in the Border Academy with a view toensuring the widest possible distribution of information.

Reimbursement for Financial LossesWithin the limits and conditions specified in the Staff Rules, Border Academy officials may berequired to reimburse the Border Academy, either in full or in part, for any financial loss incurred bythe Border Academy as a result of their wilful action or inaction, their negligence or their failure toobserve any regulation, rule or administrative issuance.

Rule — Use of Border Academy Property and AssetsBorder Academy officials shall use Border Academy property and assets for authorized purposes onlyand shall exercise reasonable care when utilizing such property and assets.Border Academy officials must fully respond to requests for information from Border Academyofficials entrusted with investigating possible misuse of funds, waste or abuse.Border Academy officials found liable for any financial loss incurred by the Border Academy shallcompensate:

For loss or damage occurred while performing official duties: up to 50 per cent of the financialloss incurred by the Border Academy if the loss results from negligence; from 50 to 100 per centof the financial loss incurred by the Border Academy if the loss results from gross negligence.



For loss or damage occurred while using Border Academy property for private purposes, even ifauthorized or for wilful loss or damage: 100 per cent of the financial loss incurred by the BorderAcademy.

Notwithstanding above, except in exceptional circumstances determined by the Academy Director,upon the recommendation of the respective head of unit, the compensation shall not exceed:

Three months of net base salary, including post adjustment when applicable, for contractedBorder Academy officials;

Three months of Board and Lodging Allowance for detailed academy members, including headsof units;

Three months of the remuneration paid by or on behalf of the detailing agencies or countries todetailed staff members.

The detailing agencies or seconding countries shall be informed by the Border Academy of thecompensation requested from their employees or nationals.The Academy Director shall establish in a Staff Instruction the procedure by which the BorderAcademy may request Border Academy officials to compensate the financial loss incurred by theBorder Academy in compliance with due process. In addition to the obligation to compensate thefinancial loss incurred by the Border Academy, Border Academy officials may subject to a disciplinarymeasure taken in accordance with the disciplinary procedure described in (National Regulations) andthe corresponding Rules.

Compensation for Loss or Damage to Personal EffectsWithin the limits and conditions specified in the Staff Rules, Border Academy employees may beentitled to compensation in the event of loss or damage to their personal effects directlyattributable to the performance of official duties on behalf of the Border Academy.

Rule — Compensation for Loss or Damage to Personal EffectsCompensation for loss of or damage to personal effects shall only be granted when such loss ordamage is directly attributable to the performance of official duties and when it occurs:

To Border Academy officials on official travel; or To international detailed members in the mission area, including heads of mission.

Compensation for lost items shall be determined having regard to the time and place of purchase ofthe articles, original cost, depreciation and any other relevant factors, including contributorynegligence as well as recovered amounts by the claimant under insurance arrangements or from athird party liable.The Academy Director shall specify the maximum compensation per item in a Staff Instruction, itbeing understood that the amount of compensation for any one incident shall not exceed (MonetaryAmong Set By Policy) however, when the loss of, or damage to, personal effects occurs in anemergency situation resulting from war, civil commotion or natural disaster, the maximum limit forcompensation shall be (Monetary Among Set By Policy).Claims for compensation shall not be considered if they are made later than one month since thediscovery of the loss or damage.In addition, compensation for loss, of or damage to, personal effects of Academy members,including heads of unit, shall only be considered if the Academy member submitted an inventory ofhis/her personal effects within two weeks arrival in the mission or assignment. InternationalAcademy /mission members, including heads of assignments shall be responsible for updating theirinventory. Only items listed in the inventory shall be subject to consideration for compensation.



Functional ProtectionBorder Academy officials shall be entitled to the protection of the Border Academy in theperformance of their duties within the limits specified in the Staff Rules.

Rule— Procedure Applicable in case of Arrest or Detention of a Border Academy OfficialAs soon as the arrest of a Border Academy official is reported, the Border Academy officialconcerned shall be put on special leave with full pay (salaries and/or other emoluments), effectivethe day of arrest. All benefits and entitlements flowing from the letter of appointment or the termsof assignment shall be preserved.If the Academy Director, or the Minister in the case of the Academy Director, heads ofinstitution/mission, determines that the arrest and detention are connected with the officialfunctions or employment of the Border Academy official concerned, the latter shall remain onspecial leave with full pay (salaries and/or other emoluments) until the matter is resolved.Extensions of the appointment or assignment shall be granted, with the consent of the secondingcountry, if applicable.Academy Director, heads of institution/mission, determines that the arrest and detention areconnected with the official functions or employment of the Border Academy official concerned, thelatter shall remain on special leave with full pay (salaries and/or other emoluments) until the matteris resolved. Extensions of the appointment or assignment shall be granted, with the consent of theircountry, if applicable.The Academy Director shall issue a Staff Instruction regulating the administrative situation of anBorder Academy official about whom the Academy Director, or the Minister in the case of theAcademy Director or the heads of institution/mission, has determined that the acts for which he/shewas arrested and detained were not connected with his/her official capacity or functions with theBorder Academy.In cases where the act for which the Border Academy official was arrested constitute a violation ofthe standards of conduct expected from Border Academy officials and warrant dismissal, the BorderAcademy shall be entitled to recover part or full payment of salaries and/or emoluments paid to theBorder Academy official concerned during his/her detention.

Rule— Subrogation to the Border Academy of Rights to Claim against Third PartiesIn so far as the Border Academy compensates Border Academy officials for damages suffered in theperformance of their duties or by virtue of their position, they shall subrogate the Border Academyin respect of their rights to claim against parties responsible for the damage or against any thirdparty assuming responsibility for repairing the damage.

Hardship/Hazard status of MissionsThe Academy Director shall, in consultation with the heads of institution and the heads of units,determine the hardship/hazard status of all Border Academy duty stations, taking into account UN &International determinations in this regard. Any budgetary implications of such determinations shallbe subject to prior approval by the Ministry or Department.

Appointments and Assignments

Designation and RecruitmentRecruitment shall be based on a transparent process, subject to open competition among nationalsof participating States and without regard to gender, race, colour, religion and beliefs nor to ethnicor social origin or to nationality.



The paramount consideration in the employment of Border Academy officials and in thedetermination of the conditions of service shall be the necessity of securing the highest standards ofefficiency, competence, and integrity, taking full account of the principle of recruiting staff from allBorder Academy participating Border agencies and participating States on a fair basis and theimportance of achieving gender balance within the Academy.Under no circumstances shall specific posts come to be identified with any one participating Agency,region or group of States.The Academy Director shall report annually to the Ministry/Department on the implementation ofthese policies for its consideration.

Section III: Disciplinary Actions

Regulation 7.01Misconduct Warranting Disciplinary ActionFailure to comply with an obligation stipulated in the present Regulations, the Staff Rules, and theBorder Service Academy (BSA). Code of Conduct, or any other relevant administrative issuance, mayconstitute misconduct warranting disciplinary action.

Regulation 7.02Due Process and Protection against RetaliationNeither a disciplinary measure under Regulation 7.04 nor a written reprimand under Rule 7.03.1shall be imposed unless the staff member concerned has been notified in writing of the allegationsand has been given a reasonable opportunity to respond.A staff member who in good faith makes a report of misconduct, or who co-operates in a disciplinaryprocedure, has the right to be protected from retaliation, as is the case when co-operating in anaudit or an investigation.

Rule 7.02.1 — Due ProcessStaff members shall be advised in writing of the allegations at the earliest practicable time.Upon receipt of notification of the allegations, the staff member concerned may respond to theDirector BSA (DBSA) or the head of institution/agency, as appropriate, within 10 working days ofreceipt of the allegations.

Rule 7.02.2 — Duties and ProtectionParticipation as a member of the Disciplinary Committee or in the hearings of the DisciplinaryCommittee is a duty from which one cannot be excused except in exceptional circumstances.The members of the Disciplinary Committee, as well as any persons attending its meetings inwhatever capacity shall be subject to an obligation of confidentiality.Participating in the hearings of the Disciplinary Committee, serving, as a member of the DisciplinaryCommittee, or assisting the staff member under Rule 7.02.3 shall, under no circumstances, isprejudicial to the professional situation or to the employment status of the person concerned.

Rule 7.02.3 — Assistance to the staff member against whom disciplinary action is initiatedThe staff/BSA member against whom disciplinary action is initiated shall be informed of the right tobe assisted by a staff member whom he/she chooses at the place where the Disciplinary Committeeis established. He/she shall also be informed of the right to be assisted by an external lawyer in thecourse of the disciplinary procedure, including in the preparation of any written document intended



for the Disciplinary Committee. In no case shall the Organization (BSA) cover the costs incurred bythe staff member utilizing the services of a lawyer.Persons from outside the Organization, including external lawyers, shall not be allowed to attendmeetings of the Disciplinary Committee as a representative of the staff member against whomdisciplinary action is initiated.

Regulation 7.03Courses of action following the response to the allegations. Following the response of the staffmember to the allegations raised against him/her and the investigation if one has been conducted,the following courses of action may be taken:

Full exoneration from the allegations; Partial exoneration from the allegations; Submission of the case to the Disciplinary Committee in accordance with Regulation 7.06, unless

the staff member decides in writing to waive his/her right for the review of his/her case by theDisciplinary Committee;

Dismissal in accordance with Rule 7.04.2.The decision as to what action should be taken shall be made by the DBSA or the respective head ofinstitution/agency, in consultation with the Agency Director.The full exoneration from the allegations shall close the disciplinary action and shall becommunicated in writing to the staff member. Partial exoneration may lead to disciplinary actionand/or other administrative actions, which may be taken as appropriate:

Issuance of a letter of reprimand in accordance with Rule 7.03.1; Partial or full recovery of financial loss in accordance with Regulation? (Agency Policy Site); Reflection of work performance issues in the performance appraisal in accordance with

Regulation (Agency Policy Site).

Rule 7.03.1 — Reprimand ProcedureShould the allegations of misconduct not be serious enough to warrant initiating disciplinary action,written reprimands may be issued. Written reprimands shall not constitute disciplinary measuresand shall not be issued without the staff members concerned having been given the opportunity torespond to the allegations in writing. The written letter of reprimand shall not be placed in the staffmember’s personnel file unless he/she has been given an opportunity to comment on it.

Regulation 7.04Disciplinary MeasuresThe disciplinary measures that may be imposed upon contracted staff members in accordance withthe procedure described in the present Article shall be as follows:

Written censure; Written censure with transfer to another post of the same grade, either in the same duty station

or in another duty station in the mission area; Suspension without pay for a specified period not exceeding one month; Deferment of the next increment for a period not exceeding twelve months; Loss of one or more steps in the relevant salary scale; Demotion, i.e. personal downgrading in the same post; Transfer to another post of a lower level, either in the same duty station or in another duty

station in the BSA or border mission area; Separation from service, with or without notice or compensation in lieu thereof;



Dismissal.The disciplinary measures that may be imposed upon seconded staff members in accordance with theprocedure described in the present Article shall be as follows:

Written censure; Written censure with transfer to another post of the same category, either in the same duty

station or in another duty station in the mission area; Suspension without payment of Allowances for a specified period not exceeding one month or

half thereof not exceeding two months; Demotion, i.e. personal downgrading in the same post; Transfer to another post of a lower level, either in the same duty station or in another duty

station in the mission area; Separation from service, with or without notice or payment of pay or allowance in lieu thereof; Dismissal.

Rule 7.04.1 — Disciplinary measuresAny disciplinary measure imposed on a staff member shall be proportionate to the gravity of themisconduct.A single disciplinary case shall not give rise to the imposition of more than one of the disciplinarymeasures listed in Regulation 9.04. However, in addition to the disciplinary measure, the staffmember may be required to partially or fully compensate the BSA for a financial loss suffered as aresult of misconduct under Regulation 2.05.Provided that due process has been afforded as required by Regulation 9.02, a disciplinary measuremay be imposed on a short-term staff member without referring the case to a DisciplinaryCommittee.

Rule 7.04.2 — DismissalAs required by Regulation 7.02, prior to deciding whether or not the seriousness of the misconductwarrants dismissal, the staff member concerned shall be notified of the allegations against him/herand be given the opportunity to present his/her own version of the facts.Dismissal shall mean immediate separation from service without termination notice to be given tothe staff member and without the case being first reviewed by a Disciplinary Committee.Furthermore, no termination indemnity and repatriation grant when applicable, shall be paid.

Regulation 7.05Administrative leave pending investigation and disciplinary procedurePending or in the course of an investigation and pending the conclusion of or in the course of thedisciplinary procedure, the DBSA or the respective head of institution/agency may place onadministrative leave the staff member with or without payment of his/her salary and Allowances.The placement on administrative leave without pay of international staff members shall be made inconsultation with the Ministry.

Rule 7.05.1 — Administrative LeaveThe placement on administrative leave with or, in exceptional cases, without pay shall not beconsidered a disciplinary measure and the staff member shall be reinstalled with full rights if he/sheis subsequently cleared of the disciplinary charges. In case administrative leave is granted withoutpay and either the allegations of misconduct are subsequently not substantiated or it is found thatthe conduct at issue does not warrant dismissal, any payment withheld shall be promptly restored.



The decision of placement on administrative leave shall specify the conditions under which the BSAofficial will have access to BSA premises and to BSA equipment and documents, as well as any othermodalities applicable to the administrative leave.

Regulation 7.06Disciplinary CommitteeNo disciplinary measure shall be imposed on a fixed-term staff member until a DisciplinaryCommittee has reviewed the case, except:

In the case of dismissal; In the case where the staff member concerned has in writing waived his/her right that the case

be referred to the Disciplinary Committee.Where the case is not referred to a Disciplinary Committee under this Regulation, the decision shallbe taken by the DBSA or the respective head of institution/mission, in consultation with the DBSA forinternational staff members, on the basis of the evidence gathered and after the staff memberconcerned has been notified in writing of the allegations and has been given the opportunity topresent his/her own version of the facts in accordance with Regulation 7.02.

Rule 7.06.1 — Composition of a Disciplinary CommitteeA Disciplinary Committee shall be established:At the DBSA, if the disciplinary procedure is initiated against: - a BSA staff member; or - aninternational staff member who committed the alleged misconduct outside his/her current dutystation or mission area; or - an international staff member, and the head of institution has requestedthat the Ministry Disciplinary Committee reviews the case;In the respective institution or mission if the disciplinary procedure is initiated against: A local staffmember; or - an international staff member, in other cases than those specified in above.The BSA Disciplinary Committee shall be a standing body, consisting of six members: thechairperson, his/her alternate and four members.

The BSA Disciplinary Committee’s chairperson and his/her alternate shall be designated by theDBSA in consultation with the Ministry Committee;

Two members shall be designated by the DBSA; and The Staff Committee or his/her alternate shall designate two members. The Chairperson or

his/her alternate, and two members, one from the two designated by the DBSA and the otherfrom the two designated by the Staff Committee, shall review each case.

The Disciplinary Committee established in a BSA shall consist of three members:

The chairperson designated by the respective head of institution in consultation with the staffrepresentatives;

One member designated by the respective head of institution and The staff representatives designate the other member. If there is no staff representative, the

chairperson and the third member shall be designated by the DBSA or the respective head ofagency with the view to ensuring a fair and impartial composition of the Disciplinary Committee.

The staff member concerned may object, in writing and for legitimate reasons, to the nomination ofup to two members of the Committee within three working days of being notified. The DBSA or therespective head of institution shall inform him/her of his/her decision regarding the objectionsraised within a further three working days. Should the composition of the Disciplinary Committee bechanged, the staff member concerned shall not be allowed to object to its new composition.



Rule 7.06.2 - Notification of the submission of the case to the Disciplinary CommitteeThe staff member against whom disciplinary action is initiated shall be notified in writing by theDBSA or the respective head of institution/mission of the following:

The charges against him/her which prompted the decision to initiate disciplinary action; Copy of documentary evidence supporting the charges; The decision to submit the case to the Disciplinary Committee, and its composition; The possibility to object to up to two members in accordance with Rule 7.06.1 (d); The right to present a defence, either verbally or in writing, and to be assisted by another staff

member in submitting the defence before the Disciplinary Committee or by an external lawyerat his/her expense in accordance with Rule 7.06.3;

The possibility to waive his/her right to the review of his/her case by the Disciplinary Committeein accordance with Regulation 7.06 (c).

Rule 7.06.4 — Decision following the Disciplinary Committee’s reportUpon receipt of the report of the Disciplinary Committee, the Secretary General or the respectivehead of institution/mission shall decide on the disciplinary measure to be taken, if any. Since theDisciplinary Committee acts as an advisory board, its recommendation shall not be binding. Thedecision shall be fully substantiated and provide the reasons on which the decision is based. In thecase of international staff members, the respective head of institution/mission shall consult theDBSA prior to the decision.The decision, together with the report of the Disciplinary Committee, shall be communicated to thestaff member concerned within one week of having been taken, and to the seconding country in thecase of a seconded staff member.

Regulation 7.07Application to Heads of Ministry

Any allegations of misconduct against heads of the may be submitted in writing to the Ministry. Theprovisions of the present Article apply mutatis mutandis and any report shall be submitted to theMinister for his/her final decision in consultation with the Inspector General or overseeingleadership



Example 7: Syllabus Design ICourse Title: Emergency Driving IBM AgenciesDevelopment Date: 2013

Length of Course:STUDENT

DRIVER DEVELOPMENTLEVEL

LECTURE LAB P.E. TOTAL PROGRAMCUSTOMS, IMMAGATIONS, BORDER POLICE,

MILITARY

OPTION

D-1 2:00 7:30 0:30 10:00 1

D-2 1:00 7:00 0:30 8:30 2

D-3 to D-4 0:30 5:00 0:30 6:00 3

D-1 Little or No driver training or driving experience, they need a lot of direction

D-2 Some experience or training, but unsure and scared of this type of driving. They need a lot of direction and support.

D-3 & D-4 Has the skills and knowledge but needs some direction and support to accomplish the

Description:In this course, students learn emergency response driving techniques needed for safe operation ofpolice-package sedans. The course covers emergency response including braking techniques,steering techniques, selecting the appropriate line of travel, and maintaining control of the vehicle.This course teaches officers how to drive in the emergency response mode within the limitations ofthe driver and the limitations of the vehicle. Finally, the course stresses always driving with dueregard for the safety of others.

Terminal Performance Objective (TPO):Given a law enforcement vehicle equipped with emergency signalling devices and the DriverEvaluation Form, the student will demonstrate the techniques of emergency response driving bydriving through a designated course and achieve at least eighty per cent of the required standardsindicated on the form.

Enabling Performance Objectives (EPO):

Demonstrate the use of visual and physical cues for maintaining control of a vehicle during anemergency response.

Demonstrate braking techniques for emergency response driving. Demonstrate steering techniques for emergency response driving Demonstrate the lines of travel through true apex, late apex and late-and-deep apex turns. Demonstrate acceleration techniques during emergency response driving. Drive an emergency response vehicle within the limitations of the driver and the vehicle under

prevailing conditions.

Student Special Requirements:

Students must meet the Practical Exercise Performance Requirements for their program.

Method of Evaluation:

Practical Exercise



Example 8: Syllabus Design IICourse Title: Training Performance Objectives DevelopmentDevelopment Date: 2013

Length of Course:STUDENT

INSTRUCTORDEVELOPMENT LEVEL

LECTURE LAB P.E. TOTALHRS

PROGRAMCUSTOMS, IMMAGATIONS, BORDER POLICE,

MILITARY

OPTION

D-1 (New) 2:00 2:00 4 1

D-2 1:00 3 0 4 2

D-3 to D-4 0 0 0 0 N/A

D-1 Little or No driver training or Instructor experience, they need a lot of direction

D-2 Some experience or training, but unsure and scared of this type of Public specking and lesson development. They need a lot ofdirection and support.

D-3 & D-4 Has the skills and knowledge but needs some (Little) direction and support to accomplish the Task

Description:

This course is designed to introduce prospective and practicing instructors to the purpose andstructure of performance objectives. The emphasis of the course is on writing terminal performanceobjectives (TPOs), which are well focused and complete, each containing a condition, aperformance, and a standard; and on writing enabling performance objectives (EPOs), which arethe steps to be mastered in order to perform the terminal performance objective. The relationshipbetween the objectives and the evaluation instrument is an underlying principle that will bereferenced throughout. Classroom lecture, student questions and discussions, individual and groupexercises, and an in-class practice laboratory are included.

Terminal Performance Objective (TPO):Having selected an IBM work-related topic for a 30 or 50-minute presentation, the participant willwrite a TPO and related EPOs in accordance with Border Service Academy Policy and Procedures.

Enabling Performance Objectives (EPO):

Prepare a terminal performance objective (TPO) consisting of a condition, performance, andstandard.

Prepare enabling performance objectives (EPOs).

Student Special Requirements:

Students must meet the Practical Exercise Performance Requirements for their respectiveprogram.

Method of Evaluation:

Practical Exercise



Example 9: Instructor GuideMethodologies:

Discussion In-class laboratory Lecture with questions Small group activities

Training Aids/Equipment:Instructor:

PowerPoint Instructor assistants for in-class lab Instructor Answer Sheet

Student:Hand-outs:

‘Performance’ Vocabulary Recognition Exercise ‘True Conditions’ Vocabulary Recognition Exercise ‘Proficiency Standards’ Vocabulary Recognition Exercise

Worksheets:

Terminal Performance Objective Worksheet Enabling Performance Objectives Worksheet (Optional)

Instructor Special Requirements:Two instructors must be available to assist with the in-class laboratory for the 30-minutepresentation. The instructors must be able to develop TPOs and EPOs according to the BorderService Academy Policy and Procedures.The attached lesson plan contains notations throughout concerning the differences in the twoversus.The materials needed for the in-class laboratory are attached to the lesson plan and they areprovided to the students in the Student Binder or by media storage device (Flash Drive or CD). Theinstructors will need to refer to these attachments for all individual and small-group activities.



Example 10: Guide for Syllabus DevelopmentPerformance - Vocabulary RecognitionCircle the words that express a clear idea of what the student will be doing. Select only those wordsthat are measurable and/or observable. Avoid circling the ‘fuzzy’ or ‘slippery’ words (Mager, 1997)that do not clearly express what the student will be doing.The student will

Appreciate the idea Believe the comment Solve the conflict problem Completely understand Identify (point to) the correct part Thoroughly enjoy the lesson Circle the best answer Take into consideration Realize the importance of Really know the correct behaviour Demonstrate the proper stance Grasp the idea of psychomotor Want to return to the IBM Program Speak in a loud voice Always arrive at the classroom on time



Example 11: Terminal Performance Objectives (TPOs)Performance objectives are based on real, job-related tasks, knowledge, and attitudes. They oftenserve the same purpose as a road map: the TPO describes your destination, while the EPOs specifiesthe necessary steps to get you there. TPOs (in the ‘CPS format’) have three components:1. The Conditions describe the situation, environment, or tools the student will be expected to

meet or face on the job. The conditions express the circumstances – real, or simulated– theperson will encounter while performing the job function, and may indicate situations that areeither given or provided; withheld or denied. For example:o ‘Given the task of interviewing a victim of crime, . . . ‘o ‘Without the use of an electronic radar detector, . . . ‘o ‘Placed on a lesson plan team, the new instructor . . . ‘

2. The Performance describes a measurable or observable behaviour that the student should beable to accomplish at the end of the course or on the job. It may describe job-related cognitiveinformation (knowledge-based material), a set of psychomotor skills, or an attitude ordemeanour (affective domain). For example: ‘ . . . the student (or officer, agent, etc.)o ‘will identify the elements of probable cause . . . ‘o ‘will determine if a crime has been committed . . .’o ‘will employ the proper use of force . . .’o ‘will calmly and civilly restrain the subject . . . ‘o ‘will assist with the revision of the Division’s lesson plans . . .’

3. The Standard (or Criterion) specifies the level of proficiency or the degree of quality anticipatedfrom the performance. It may state how well, how accurately, or how quickly the person isexpected to perform, or may even include references to specific agency policies, manuals, orcodes that detail particular procedures.o ‘without intimidating the witness.’o ‘while employing the appropriate level of force.’o ‘consistent with LAW… ___.’o ‘in conformance with the department memo of April 1, 2013.’o ‘according to the guidelines found in Directive…

Note: Sometimes a TPO may have the proper format but really express nothing. These are oftencalled ‘universal objectives’ because they seem to fit any situation, but fail to describe the actualconditions or behaviours. For example: ‘Given a written, multiple-choice examination, the studentwill answer the questions in accordance with the principles delineated during the course ofinstruction.’

TPO ChecklistFor a well-written TPO, you must be able to answer, ‘yes’ to these questions:

Does the TPO state the conditions present at the time of the performance? Is the TPO based on a job-related task? Is the TPO stated in terms of a performance? Is the performance student oriented (rather than instructor oriented)? Is the performance measurable or observable? Is there an acceptable standard?

Example: Given an arrest warrant and location of the suspect, the student (officer) will safelyexecute the warrant without violating the subject’s rights.



Example 12: Practice TPO WorksheetHere are four TPOs in the CPS format. For clarity, the Conditions are in italics, the performances arebold, and the Standards are underlined.

1. Having selected a work-related topic for a 30-minute presentation, the student will createperformance objectives that comply with the approved Conditions, Performance, andStandard (CPS) format.

2. During a routine secondary inspection, the officer will interview the passenger payingcomplete attention to all nonverbal behaviours and actively listening to all verbal responses.

3. Given an assignment to interview a suspect, the student will prepare a basic plan for aninterview including all topics to be covered and a thorough list of questions to be asked.

4. Given a series of courses to instruct, the new instructor/facilitator will manage the adultlearning environment while fully engaging the students and maintaining order within theclassroom.

Practice writing your own TPO in the space below: start by selecting a good ‘action word’ for theperformance, and describe the conditions present at the time of the performance. Add the standardof accomplishment expected from the performance.

‘Condition’ (what the ‘Given student will be given or denied)

‘Performance’ (what they the person [e.g., officer/agent/student] will be expected to do – theaction)

‘Standard’ (how can one tell if it is being done correctly).



Example 13:‘True Conditions’ - Vocabulary RecognitionPlace a check mark in front of the phrases that indicate ‘true’ conditions – conditions thatdescribe ‘on-the-job’ situations. Do not check the ‘false givens – conditions that describe thetraining period, or the instructional time, rather than the actual job-related task’ (Mager, p. 90).During an arrest situation, . . .

With a floor full of arriving passengers, . . . Given a three-hour lesson on the course development process, . . . When provided with a description of a suspect, . . . After studying for eight hours, . . . Given a night-time surveillance situation, . . . Without the assistance of a backup officer, . . . Given a block of instruction on Ethics and Conduct, . . . Encountering a group of ‘Entering Without Inspection (EWIs)’ in the desert. . . When preparing a written report, . . .



Example 14: ‘Proficiency’ Standards - Vocabulary RecognitionPlace a check mark by the items that best characterize ‘true’ performance standards – standardsthat really say something about the degree of quality or level of proficiency expected from theperformance (‘how you know if you’re doing it right’). Ignore the ‘empty’ or ‘delusive’ standards –statements that appear to fit the part, but really say nothing much about what is actually expectedfrom the performance.

‘. . . according to Policy section 287.10.’ ‘. . . according to instruction.’ ‘. . . consistent with all four elements of FLETC’s Unified Training Principles. ‘. . . according to the principles delineated during the course of instruction.’ ‘. . . consistent with all sections of the Victim’s Rights Act.’ ‘. . . while avoiding any violation of the detainee’s Constitutional rights.’ ‘. . . in accordance with classroom instruction ‘. . . in full conformance with SOP Manual 5150.’ ‘. . . evading an unwarranted escalation of force.’ ‘. . . without getting shot.’

UNDOC Guide to Model Border Academy – Standard Operating Procedure Development


Example 15: Instructor Evaluation Form

Instructors’ Name: Course/Topic:

Observers’ Name: Length of Presentation: Time: Date:

0 = Outstanding FS= Fully Successful U= Unacceptable

EPS = Exceeds FullySuccessful

MS = MinimallySuccessful

NA= Not Applicable

RATE EACH CATEGORY WITH ONE OF THE ABOVE

Introduction/Training Objectives: Comments:

Tied in with previous learning experience, ifapplicable gained attention.

Stated Purpose of course and scope.

Established clear need to learn.

Stated and clarified objectives.

Instructor Preparation: Comments:

Began presentation on time.

Used testimony, statistics, comparisons, specificinstances or illustrations.

Gave clear instructions.

Used current lesson plan.

Was familiar with subject

Arranged classroom equipment to meet needs.

Arranged classroom equipment to meet needs.

Completed on time.

Fully used available time.



Questioning Technique Comments:

Directly related to the issue.

Used to stimulate discussion

Asked in-depth questions to check level ofknowledge, as appropriate.

Varied usage (open-end, redirected, etc.)

Used Correct procedure: ‘Ask the question,pause, call on a student!’

Allowed the student to complete response.

Encouraged student participation.

Training Aids (IF APPROPRIATE) Comments:

Contributed to the learning objectives.

Effectively employed interesting model.

Reflected utility through simplicity.

Demonstrated creativity.

Body Movement, Voice & Speech Techniques Comments:

Enunciated and Pronounced words correctly.

Used proper grammar.

Rate of speech was adequate for class.

Used pause to emphasize point.

Selected appropriate words

Avoidance of word ‘whiskers’ (0.K, AN, ER, ETC.)

Body movements (head, hands, eyes, body) wereappropriate and not distracting.

Body movements (head, hands, eyes, body) wereappropriate and not distracting.

Used correct Text spelling when usingchalkboard.

Motivation Techniques Comments:

Exhibited enthusiasm



Established rapport.

Developed intragroup action (whereappropriate)

Attempted to generate student interest

Student Behaviour Comments:

Sustained interest throughout lesson.

Involved students In the Instructor/learningsituation.

Appropriately enforced student discipline.

Instructor Role/Behaviour Comments:

Uniform/Dressed appropriately

Presented a professional image

All TPOs & IPOs, and main teaching pointscovered.

Course presented in logical sequence.

Avoided sexual, racial or other bias.

Did not use non-essential vulgarly or obscenity.

Exercised control of class

Summarized main-teaching points.

Overall Rating of Instructor & Recommendations:



Example 16: Training Project Tracking Sheet

Project Title:

Agency/Customer:

Agency/CustomerContact Point: Phone #: E-Mail:

Dates Started: Date ProjectCompleted:

Steps Task/Assignment Date TaskCompleted: # of Hrs.

1 Project request received. (Training Program Manager Start Tracking Sheets)

2

Contact must be made with the customer to determine actual needs.

The request should include: project type, number of students, training location,points of contact, and funding and reimbursable charging information [whenappropriate].

E-mail correspondence is acceptable.

3 Formalized training request has been received and Border Academy Chief hasapproved the project.

4

Determine Funding: Government Agency, Funding [partner agency], UN or StateNGO.

If government or NGO they should complete Letter of Intent and provide a budgetcode.

If International you coordinate everything with the appropriate government agency.They deal directly with internationals. [For anything that occurs outside yourborders.]

5The assigned program manager/program coordinator makes direct contact with thecustomer and finalizes details regarding project requirements [i.e., audio-visualequipment, lodging, travel, and shipping information].

6 Training support materials identified and produced or ordered. # Needed

A Web based assessments, or Web Based Training (WBT) courses.

1 Contact the customer and verify that they received siteinstructions and passwords for their participants. (If Needed)

B Computer Based Training (CBT)

1 Contact the customer and verify that they received siteinstructions and passwords for their participants

C Specialized Participant workbooks/productivity packages (Purchased)

D Border Academy participant workbooks and miscellaneous hand-outs

7Customization of training materials to meet customer-training objectives. Activitiesinclude research and development of PowerPoint presentations, video media andlabs.

8 Training support materials shipped to training site or customer

9 Travel orders cut and approved [if appropriate].



10 Transportation and lodging arrangements completed [if appropriate]

11 Pickup passport [international travel]

12 Complete all last-minute activities involving the project.

A Print all materials, assessments and reports needed to support training

B Ship all materials, assessments, equipment needed to support training at least 30days before the scheduled training start date.

13 Contact customer point of contact to verify that training materials have arrived at thetraining site.

14 Package up PowerPoint's and other media support you need to conduct training

15 Delivery of the training product [instructing and facilitating]

A Travel [include all hrs. in travel status to and from training site]

B Per course preparation. Meet with customer at training site, setup classroom, testmedia support devices, and unpack and prepare Training support materials

C Have students complete course evaluations

D Complete a class roster, that includes: students full name, agency, and work location

E Ship all Border Academy Items back to the academy (Shipping Labels can be obtainedfrom? before departure)

16 Complete travel voucher [if appropriate]

17 Complete an end of class report [if appropriate]

Note: This form is an example of a course or program-tracking sheet. Use it to develop and tracktraining projects. Planning using these types of SOPs ensures the success of training event or project.


Appendix

Code of Conduct: BSA Officials

BSA Officials’ ConductBSA officials shall conduct themselves at the highest personal and professional level at all times,while on duty and off duty, in order to successfully represent the BSA. BSA officials shall not act in amanner, which is likely to bring discredit to the agency, institution, or mission to which they areassigned, to its staff and to the BSA in general.They shall comply with the principles, norms and commitments of the BSA and adhere to themandate of their respective institution or mission in performing their duties.

Relations with National AuthoritiesBSA officials shall neither seek nor accept instructions regarding the performance of their duties,from any Government or from any authority external to the BSA.

ImpartialityBSA officials shall conduct themselves at all times in a manner befitting the status of a(NATION/STATE) civil servant. They shall refrain from any action that might cast doubt on theirability to act impartially.BSA officials shall not engage in any activity, which is incompatible with the proper performance oftheir duties with the BSA or may adversely reflect on their status, as well as on the integrity,independence and impartiality of their position and function as BSA officials.BSA officials shall ensure that their own personal views and convictions, including their political andreligious convictions do not adversely affect their official duties or the interests of the BSA.

Compliance with accepted human rights standardsBSA officials shall refrain from any conduct, which could be detrimental to the goals of the BSA. Thisincludes but is not limited to an affiliation with any person who is suspected of being involved in anyactivity that violates national or international law or accepted human rights standards, or anaffiliation with any person who could reasonably be suspected of engaging in the trafficking inhuman beings.BSA officials shall be aware that the use of the services of a person suspected of being a victim oftrafficking contributes both to the profit of traffickers and the harm to victims. BSA officials shalladopt exemplaryStandards of personal behaviour to ensure the BSA is contributing to combating trafficking in humanbeings, and is not exacerbating the problem.BSA officials shall be accountable to their respective national authorities, and when appropriate tolocal authorities, for any illegal activities inciting this criminal trade or behaving in contravention ofthe above-mentioned standards.

Professional working environmentBSA officials shall abstain from any action, which may be contrary to the BSA policy on professionalworking environment.All BSA officials are treated equally and with respect, regardless of gender, race, religion or belief,nationality, ethnic or social origin, age, sexual orientation, marital status or other aspects of personalstatus.


Acceptance of Gifts, Honours and other DistinctionsBSA officials shall not use or attempt to use their position for private advantage and shall not acceptany gratuity or gift which goes beyond simple courtesy.In connection with their appointment or assignment to the BSA, their respective institution, staffmembers shall not receive any honour, decoration, favour or gift greater in value than EUR (YourGovernment Standard) from any Government or from any source external to the BSA without priorauthorization of the DBSA and their respective head of institution/mission.

Outside Activities and InterestsBSA officials shall not be actively associated with the management of any business, nor may theyhold a financial interest in any business, if there is a possibility that they would benefit from suchassociation or financial interest by reason of their official position with the BSA.A BSA official who has occasion to deal in his/her official capacity with any business in which he/sheholds a financial interest shall at once disclose the measure of that interest to the DBSA or to therespective head of institution or, for the DBSA and the heads of institution to the Chairperson-in-Office.Staff members shall not engage in any paid occupation or employment outside the BSA without priorapproval of the DBSA or the respective head of institution/mission.

DiscretionStaff members shall observe maximum discretion with regard to all matters of official business. Theyshall at no time use, disseminate or publish information known to them by reason of their officialposition nor may they publish anything based thereon, except with the written approval of the DBSAor their head of institution/mission.Staff members shall also not communicate such information to third parties, except in connectionwith the discharge of their functions.Except as part of official duties, staff members are required to seek prior approval of the DBSA ortheir respective head of agency for performance of any one of the following acts, if such act relatesto the purpose, activities or interests of the BSA or involves the use of information known to themby reason of their official duties:

Issue statements to the press, radio or other media of public information; Accept speakingengagements;

Take part in film, theatre, radio or television productions or presentations; Submit articles,books or other material for publication; or

Disclose, duplicate or transfer any information for uses other than those specified by the DBSAor the head of institution to any person, Government or authority.

These obligations shall not cease upon separation from the BSA.

Safety and SecurityBSA officials shall make every effort to ensure the security of the Secretariat, institution or missionto which they are assigned and of its individual staff/mission members, and shall follow closely allinstructions regarding safety and security matters.

Protection of BSA PropertyBSA officials shall protect, manage and use BSA resources and property efficiently and withnecessary care and must not wilfully, or through negligence, cause any waste, loss and/or damage toBSA property, documents and resources.


BSA officials may be required to reimburse the BSA either partially or in full for any financial lossincurred by the BSA as a result of their wilful action or inaction, their negligence or their failure toobserve any regulation or administrative instruction.

Applicability of the Code of ConductThe BSA Code of Conduct shall apply to the DBSA, heads of institution and heads of mission mutatismutandis, except that they shall report to or seek authorization from the leadership.


Code of Conduct: InstructorsBSA Instructors are given the responsibility by a democratic government to train and develop themen and women that protect the rights of citizens and enforce the law of the state. The people theytrain are protecting the borders and state ensuring open and secure border based on democraticvalues.Those values ensure fair and impartial treatment of all individuals, sensitivity to racial, ethnic, sexual,gender and religious factors, with an awareness of cultural diversity and discrimination. They reflecta respect for fundamental human rights, integrity and border services and law enforcement codes ofconduct. Thus the BSA instructor position is a noble profession because they are entrusted withdeveloping those who protect the people and state.Border Service personal are some of the most visible manifestation of government authorityresponsible for security of the state, with front-line personnel – such as the border patrol,immigration, customs – in day-to-day contact with citizens and foreigners. The skill with which theyperform their duties will determine the public and foreigner perception – positive or unhelpful – ofthe national border service. The BSA instructor helps to establish the skills and attitude these borderservice personnel to be effective at their jobs.The skills and values taught must imprint and ensure that every student the understands theimportance of fair and impartial treatment of all individuals, sensitivity to racial, ethnic, sexual,gender and religious factors, with an awareness of cultural diversity and discrimination. They reflecta respect for fundamental human rights, integrity and law enforcement codes of conduct.Basic border service training must include practical skills. Instructors must developed professionalskills training to equip border service members to meet and respond more automatically to typicalchallenges and situations by consistently using proven techniques. These skills must also preparethem to follow a reasonable course of action in emergencies and under non-standard conditions.


Building an Academy Culture of Respect & HonourBSA Instructors will reinforce these principles in every participant in their training sessions thoughpersonal example and actions, plus include them in course designs:

Human RightsInstructors will teach about human rights instruments (international, regional and state instrumentsand non-treaty documents), the principles of non-discrimination, and the groups requiring specialprotection or treatment.Instructors will identify situations in which the border service member (BSM) may legally restrict anindividual’s right to liberty.Instructors will teach about the role of the BSM regarding human rights and be able to identify thefundamental human rights principles involved in BSM and law enforcement investigations.Finally, Instructors will make the student become acquainted with the laws protecting human dignity

Democratic Policing and IBMInstructors will outline the fundamental principles of democratic policing and IBM. They will be ableto explain the concepts of representation, responsiveness, accountability and transparency asfundamental duties of the IBM within democracies.Instructors will ensure students are able to outline the points or principles that help support de-mocratic institutions, aiding in implementing democratic policing.

Public Partnership and IBMInstructor will emphasise that through law enforcement partnerships, BSM engage with citizens in afriendly, open and personal manner, gaining their respect, trust and confidence.When community members are involved, they feel a sense of ownership of law enforcement issuesand pride in promoting safety.The philosophy is one of full-service and personalized IBM, where citizens feel empowered to workin active partnerships with the border services, solving problems of crime, the fear of crime, disorderand decay

Cultural DiversityInstructor will work towards providing students with an understanding of Multi-ethnic societies andhow to get familiar with the means by which the BSMs can improve relations between ethnicminorities Racial profiling; theory of prejudice; frustration/aggression hypothesis; ethnocentrism;scapegoats, stereotypes and social distance; self-hatred; institutionalized discrimination; cognitivedistance; situation pressures theory; prejudice and discrimination; women of different ethnicgroups; awareness of one’s own stereotypes; awareness of specific religious groups; group gainstheory; cultures and subcultures; trust building; cultural barriers; benefits of understanding differentcultures; customs and traditions in multi-ethnic and multicultural environments; culture, ethnicity,race, direct and indirect discrimination.

GenderAll BSA instructors will uphold the rights of women. Article 1 of the Convention on the Elimination ofAll Forms of Discrimination against Women (CEDAW), adopted in 1979 by the United NationsGeneral Assembly, defines discrimination against women as ‘... any distinction, exclusion orrestriction made on the basis of sex which has the effect or purpose of impairing or nullifying therecognition, enjoyment or exercise by women, irrespective of their marital status, on a basis ofequality of men and women, of human rights and fundamental freedoms in the political, economic,social, cultural, civil or any other field.’ All students will be made aware of this article.


Instructors will teach and lead by example that gender equality is; recognition and implementationof women’s rights as human rights; harassment free workplace; sexism free workplace; forming truepartnerships between men and women; considering theCompetencies, skills, talents and different needs of both women and men; solving today’s problemsand preparing for the future; protecting and promoting gender equality; issues women face in theborder service; harassment/sexism and reporting procedures.

EthicsInstructors will teach ethics infrastructure; the consequences of not adhering to professional ethics;one’s personal value system; conscience; integrity, fairness and impartiality; transparency – internaland external scrutiny; confidentiality; due diligence; ethical risks and actions to manage them;conflict of interest; potential warning signs of unethical practices; control systems; stigmatization ofthe police service -personal and professional consequences; self-assessment and awareness;limitation of authority; conduct in arresting and dealing with violators; conduct towards the public.Since instructors have so much influence over the students they are in charge of developing studentcharacter. Given this instructors are held to a higher standard just as a law-enforcement officer is onthe street. The instructor’s ethical behaviour must be above reproach. He or she leads by example,which is the strongest, of any of the motivating drives of the human spirit.


ReferencesOSCE BMSC Regulations,LEADERINC LEO Instructor Training Course, By: William Brockwell, 2012DHS, FLETC SOPs & Policy Directives 2011Good Practices in Basic Police Training – Curricula Aspects OSCE Guides for IBM in EU External CooperationGuide to Writing Policy and Procedure Documents, UC Santa Cruz, October 28, 1994Management Alternatives for Community Organisation, Gevers Goddard Jones, http://www.ggj.biz/http://www.ourcommunity.com.au/Tips for writing policy, https://wiki.qut.edu.au/download/attachments/5250980/Tips+for+writing+policy.pdfGuide to Writing and Maintaining Campus wide Administrative Policy, UC Davis, revised 01/03/11http://manuals.ucdavis.edu/resources.htmCOMMUNICATING GOVERNANCE: WILL PLAIN ENGLISH DRAFTING IMPROVE REGULATION, George

Washington University Law Review, volume 70, no. 1, 2002Guide for writing administrative policy, University of Minnesota, www.policy.umn.eduAccessing information in developing countries: INASP, Association of Commonwealth Universities, published

on Jan. 21, 2013Introduction to policy analysis and writing policy briefs, by: Helen Richens, published on Oct. 10, 2012Writing for policy makers, by: INASP, published on Sept. 10, 2010http://www.skillpath.com/index.cfm/training/seminar/topic/Write-Effective-Policies-Procedureshttp://www.safework.sa.gov.au/contentPages/docs/labrWritingPolicy.pdfhttp://www.gup.org.uk/sites/www.gup.org.uk/files/final_guide_writing_organisational_td_policy.pdfhttp://jwatsontraining.com/?p=2025http://www.slideshare.net/noha1309/writing-effective-policies-procedureshttp://158.121.110.113/~pubpol/documents/policywriting-toc.pdfhttp://www.epa.gov/QUALITY/qs-docs/g6-final.pdfhttp://www.maine.gov/tools/whatsnew/attach.php?id=54978&an=1http://www.metabolomics.ca/News/sops/HowToWriteAStandardOperatingProcedurev1.pdfhttp://www.ansci.cornell.edu/pdfs/sopsdir.pdfhttp://centaur.vri.cz/news/prilohy/pril771.pdfhttp://www.bizmanualz.com/sample-policies-procedures/sample-company-managemet-policy-procedure-

template?gclid=CPLwprClz7kCFSQ44godYR8A2Ahttp://www.writingassist.com/resources/articles/the-well-written-sop-critical-for-continuous-improvement/http://www.mhra.gov.uk/home/groups/is-insp/documents/websiteresources/con195916.pdfhttp://www.cmmonline.com/articles/standard-operating-procedures-a-writing-guide-3http://clinfield.com/2013/03/standard-operating-procedures-sops/http://www.extension.iastate.edu/foodsafety/toolkit/communication/overviewofsops.pdfhttp://www.instructionaldesigncentral.com/htm/IDC_instructionaldesignmodels.htmhttp://www.shrm.org/education/hreducation/documents/09-0171%20gusdorf_t%20and%20d%20final.pdfhttp://www.go2itech.org/HTML/TT06/toolkit/design/strategies.htmlMager, R.F. (1984). Preparing instructional objectives. (2nd ed.). Belmont, CA: David S. Lake.Principle-Cantered Leadership, Stephen R. Covey, 1990, Simon & Schuster, p.p. 94-100.The 8th Habit, Stephen R. Covey, 2004, Simon & Schuster, pp. 100-103.The 7-Habits for Managers, Stephen R. Covey, 2005, Franklin Covey, pp. 42-43.Wikipedia Encyclopaedia, Standard Operating Procedure, October 17, 2006.EPA Guidance for Preparing Standard Operating Procedures, March 2004.

Regional Office for Southeast Asia and the Pacific United Nations Building, 3rd floor B Block, Secretariat Building, Raj Damnern Nok Avenue, Bangkok 10200, ThailandTel. (66-2) 288-2091 Fax. (66-2) 281-2129 E-mail: [email protected] Website: http://www.unodc.org/southeastasiaandpacific

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