After-Action Reviews (AAR)

AARs should generally not be used in situations where a criminal investigation, administrative investigation, or other review process that could result in discipline will be conducted. These include:

• Circumstances involving the use of deadly force and in-custody deaths where a criminal investigation is expected to follow as a matter of course.
• Uses of force, pursuits, and citizen complaints that will be subject to automatic review or investigation under agency policy.

Conducting an AAR in these circumstances could compromise the investigation or review process and run afoul of employee rights secured by the Peace Officer Discipline Procedures Act. Consult with your city attorney before commencing a review on a matter that is expected to result in civil litigation.

The National Police Foundation and the US Department of Justice COPS Office have created an extensive guide on AARs. One caution in using resources from outside Minnesota, however, has to do with terminology. Outside of Minnesota, the term “critical incident” and “major incident” are sometimes used interchangeably. But locally, the term “critical incident” often refers to officer-involved uses of deadly force and in-custody deaths that will be investigated as a matter of course. For guidance on critical incidents, refer to the League of MN Cities Guide: Planning for Critical Incident Response. For more information, review the COPS guide on after action review from the National Police Foundation.

Sample AAR policies are available on the internet. However, the best policy for conducting AARs is one that your agency has developed or modified to fit your circumstances. Here are some recommendations for items to include when developing your policy:

Step One—Statement of Purpose

The statement of purpose should explain what your agency hopes to achieve by conducting AARs. It could say something like, “The X Police Department is committed to improving the quality of its services and the safety of officers and community members through the systematic review of designated incidents to identify better, safer, and more promising practices going forward.” The statement could also express your agency’s commitment to a culture of excellence and continuous learning and improvement.

Best Practice Hint: The policy should plainly articulate that AARs are non-punitive and will not be used in situations where a criminal or administrative investigation or other process that could result in criminal charges or disciplinary action will be undertaken. An AAR could, however, be undertaken once any criminal and disciplinary issues have been resolved.

Step Two—Specify the Types of AARs and Occasions for Use

An AAR involves reviewing an incident and asking what went right, what went wrong, and how things can be done better the next time. With this description in mind, it is evident that field training officers routinely conduct mini-AARs with those under their charge, and in-service instructors routinely address these same three questions with officers after they complete a training scenario. The AAR process does not need to be reserved for major incidents; smaller occurrences also affect your agency’s culture. As you think about the circumstances that should trigger an AAR, consider the benefits of making these reviews a standard way of doing business. Normalizing the AAR process indicates to officers and the community that your agency is committed to continuous learning and improvement.

Your policy should make provisions for both informal and formal AARs. An informal AAR might be appropriate for smaller-scale, low-impact incidents. For example, a team or a shift could evaluate how it responded to a crime in progress or how it performed in conducting a building search. Those involved could talk through the event soon after it is over. If the lessons learned would benefit those beyond the immediate team, they could be discussed at a shift change or department meeting.

At the other end of the spectrum, a high-impact event might call for an AAR that is formal, comprehensive, and broad in scope, and that would be best conducted by an outside resource. Your policy should leave flexibility to structure and conduct these kinds of AARs based on the needs of the situation.

Step Three—Develop AAR Protocols:

1. Define criteria specifying when informal or formal AARs could, should, or must be conducted. Establish timelines for how soon AARs will commence after a designated event.

Best Practice Hint: If your agency does not have an established practice of conducting AARs, a good place to begin is by doing smaller ones following lower-impact events.

2. Identify the AAR components for your department. What questions will be asked and answered during the AAR?

For example:

• • What happened and when?
  • Where did the incident occur?
  • Who was involved in the response and how and why were they involved?
  • Who and what else was present at or around the incident location?
  • How did the incident and response unfold?
  • What equipment was used during the response?
  • What complications occurred during the response?
  • What could have been improved in the response?
  • What parts of the incident response went well and why?
  • If an incident went well, what feedback or praise might be appropriate?
  • If a problem or complication occurred, what was the root cause?
  • If a problem or complication is identified, how can it be prevented in the future?

3. Determine staff roles, readiness, and proficiency for the AAR process. Identify who will conduct or facilitate AARs. What skills or training will staff need to successfully perform in these roles?

Best Practice Hint: Reviews generally should be facilitated or conducted by an officer who outranks the involved officers by one level or who has specialized expertise in the issue being reviewed.

Best Practice Hint: If the AAR procedure includes multiple stakeholders at different levels, clearly identify who is responsible for determining final outcomes and follow-up.

4. Decide what types of data will be considered and generated. Your policy should specify the types of data that will be examined as part of the AAR process, such as body-worn and in-car camera videos. You should also have guidelines on the front end for AAR summaries that will be written and how they will be classified under the Minnesota Government Data Practices Act (MGDPA).

Best Practice Hint: The MGDPA governs access to city data. As you develop your AAR process, work with your city attorney or MGDPA responsible authority to determine what kinds of data may be considered, who may have access to it, and what kinds of safeguards should be put in place for preventing unauthorized disclosure. Your city attorney or responsible authority can also be consulted for guidance on the extent to which Minnesota Statutes section 13.82, subdivision 25 (governing law enforcement deliberative processes) may be applicable to AAR reports.

Best Practice Hint: To keep AARs focused on team performance and to prevent data practices concerns, avoid including information in summaries or other written materials that could identify individual officers or citizens involved.

5. Determine who will participate in AAR sessions and develop ground rules to maintain a professional and trusting environment. Will the department limit involvement in AARs to only those involved in the incident? Will the department use AARs for broader learning opportunities?

Best Practice Hint: When it comes to conducting AARs, the focus is on learning and improvement, not assessing individual fault. Nevertheless, one indication of a professional and trusting environment is when officers are willing to speak up and acknowledge personal mistakes as part of the process. This consideration may weigh in favor of keeping the AAR group smaller. On the other hand, a particular AAR can yield results that are beneficial to the entire department, so an appropriate process should be identified for communicating a summary to this broader audience. Facilitators must be prepared to model and enforce appropriate ground rules for AARs to be successful.

6. Decide what follow-up needs to occur after an AAR. Are there policy changes, training needs, equipment issues, or other lessons learned that should be implemented? How will this be handled?

Best Practice Hint: Although the AAR process is team-based and agency- focused, there may be individual performance or training issues that surface. Because data about individual performance will generally constitute private data under the MGDPA, it is not appropriate to discuss this information in team settings or document it in summaries that will be available to those other than the individual employee and their supervisors. (Minn. Stat. § 13.82, subd. 4 (private data) and 13.43.)

Step Four—Advanced Considerations

Once an AAR process has been implemented, its maturation can provide increasing benefits to the organization. For example, some agencies have used AARs to help create a shared vision of what great performance looks like. Some agencies have also used AARs to engage with the wider leadership of their city and community, including them in recognition and reward programs. However, remember that any dissemination of data about individual performance must be consistent with the MGDPA.