Getting Ready for Excellence
One of the questions I hear most often is: “How do we prepare for an OCC investigation?” The honest answer is that preparation begins before we arrive. Institutions that prepare effectively move through investigations more quickly, identify fewer problems, and achieve compliance faster.
This guide is based on what I’ve observed in institutions that handled OCC investigations smoothly, and what I’ve seen in institutions that struggled unnecessarily.
Phase 1: Pre-Investigation Preparation (Before OCC Arrives)
Step 1: Audit Your Own Systems
Before OCC investigates, investigate yourself. Conduct an honest assessment of:
Records Management:
- Are all case files complete and properly indexed?
- Can documents be located and retrieved within 24 hours?
- Are records securely stored?
- Is backup and disaster recovery in place?
- Do physical records match digital records?
Procedures and Protocols:
- Are procedures documented and accessible to staff?
- Are procedures actually being followed or do staff cut corners?
- Are there gaps in your procedures that create risk?
- Are complaint procedures clear and accessible?
Staff Training:
- When was staff last trained on procedures?
- Do staff understand the importance of compliance?
- Are there performance gaps suggesting inadequate training?
- Is training documented?
Detainee/Public Access:
- Can people request records and receive them promptly?
- Are certified copies available when needed?
- Are request procedures clear and well-publicized?
Financial Records:
- Are financial transactions properly documented?
- Are decision-making processes documented?
- Are there audit trails showing who approved what?
Step 2: Identify and Fix Problems Early
Once you’ve audited your systems, fix problems before OCC arrives. This is incredibly cost-effective:
Problems fixed before OCC investigation: Cost of correction only Problems found by OCC investigation: Cost of correction + investigation time + potential escalation
Don’t wait for OCC to find problems. Find and fix them yourself.
Step 3: Document Your Efforts
Create a record showing:
- What systems you evaluated
- What problems you identified
- What corrections you implemented
- When corrections were completed
- How you verified corrections
This documentation shows OCC that you’re taking compliance seriously and have already made progress.
Step 4: Establish Compliance Leadership
Designate someone in your organization responsible for:
- Ongoing compliance monitoring
- Staff training on compliance
- Documentation of compliance efforts
- Communication with OCC
This person should report directly to leadership and have authority to implement changes.
Phase 2: Pre-Arrival Preparation (When OCC Notice Is Received)
Step 1: Notify Staff
When you receive notice that OCC will investigate:
Do:
- Explain the process to staff
- Clarify that investigation is routine and professional
- Emphasize that cooperation is expected
- Assure staff that accurate information is appreciated
Don’t:
- Create panic or uncertainty
- Suggest that problems should be hidden
- Tell staff to refuse to cooperate
- Create adversarial attitude
Step 2: Assemble Your Records
OCC will request:
- Case files and dockets
- Detention records
- Staff records
- Financial records
- Policy documentation
- Training records
- Complaint records
- Audit documentation
Organize these in advance:
- Create a central location for OCC records
- Organize by category
- Create an index showing what’s available
- Identify any missing items in advance
If records are missing, this is your opportunity to find them or explain why they don’t exist. Having this conversation before OCC arrives is far better than discovering problems during investigation.
Step 3: Brief Leadership
Ensure that institutional leadership:
- Understands the investigation process
- Knows what to expect
- Understands their role in cooperation
- Is prepared to answer questions about institutional decisions
- Understands that honest answers are essential
Leadership should understand: The investigation is more likely to go smoothly if your institution cooperates fully. Cooperation actually reduces investigation time and scope.
Step 4: Identify Your Liaison
Designate someone who will:
- Serve as primary contact for OCC investigators
- Arrange facility access and logistics
- Facilitate record requests
- Answer procedural questions
This person should:
- Be knowledgeable about institutional operations
- Have authority to make decisions about access
- Be available during the investigation
- Remain professional and cooperative
Step 5: Prepare Your Physical Space
If OCC will visit your facility:
- Set aside workspace for investigators
- Provide access to records systems
- Ensure adequate lighting and working conditions
- Arrange for private meeting space if interviews are needed
This shows professionalism and facilitates efficient investigation.
Phase 3: During Investigation
Step 1: Full Cooperation
When OCC investigators arrive:
Provide:
- Complete access to all records
- Honest answers to all questions
- Explanations of procedures and decisions
- Introduction to relevant staff
Don’t:
- Withhold information
- Require excessive questioning before providing documents
- Claim information doesn’t exist without thorough search
- Become defensive
Step 2: Facilitate Staff Interviews
If OCC interviews your staff:
Prepare staff:
- Explain that interviews are routine
- Assure staff that accurate information is appreciated
- Clarify that they should answer questions honestly
- Assure staff that honest answers won’t result in retaliation
Support the process:
- Make staff available at times convenient to investigators
- Ensure staff have quiet space for interviews
- Don’t hover or intimidate staff
- Encourage honest communication
Step 3: Respond Promptly to Requests
OCC will request information, explanations, and clarifications:
Respond quickly:
- Set a goal of responding within 5 business days
- Provide complete answers, not partial ones
- Explain anything unusual or complex
- Ask for clarification if the request is unclear
Quick, complete responses speed the investigation and demonstrate cooperation.
Step 4: Ask Questions
If you don’t understand what OCC is looking for:
- Ask for clarification
- Understand the issue being investigated
- Prepare your response thoughtfully
Cooperation includes two-way communication.
Phase 4: Post-Investigation (When Findings Are Issued)
Step 1: Review Findings Carefully
When OCC issues findings:
Understand:
- What specific problems were identified
- What legal authority supports the findings
- What improvements are expected
- What timeline is required
Don’t:
- Immediately challenge findings
- Become defensive
- Start litigation without careful consideration
- Ignore recommendations
Step 2: Develop a Corrective Action Plan
Work with OCC to create a plan showing:
- What you will do to correct problems
- Who will be responsible
- What timeline you’ll follow
- How you’ll verify corrections
OCC appreciates institutions that take findings seriously and develop concrete plans.
Step 3: Implement Corrections Promptly
Once you’ve committed to corrections:
Do:
- Implement as promised
- Stay on schedule
- Document completion
- Report progress to OCC
Don’t:
- Miss deadlines
- Implement partial corrections
- Promise more than you can deliver
- Ignore recommendations
Step 4: Verify and Demonstrate Compliance
When you complete corrections:
- Document that corrections are in place
- Show that staff understand new procedures
- Provide evidence of training
- Demonstrate that new procedures are being followed
This preparation makes follow-up reviews smoother and moves you toward reduced oversight.
Best Practices for Efficient Investigations
Based on what I’ve observed, these practices make investigations go smoothly:
1. Transparency
Institutions that are transparent about what they do, why they do it, and how they do it move through investigations quickly. Transparency demonstrates confidence.
2. Complete Records
The institutions with the smoothest investigations are those with complete, organized records. Missing documents create delays and raise questions.
3. Clear Procedures
Institutions with clear, written procedures that staff actually follow are easier to evaluate. Clear procedures also demonstrate institutional order.
4. Staff Training
Institutions where staff understands procedures and compliance requirements are easier to audit. Staff who can explain decisions move investigations forward quickly.
5. Cooperation
Institutions that treat OCC investigation as partnership rather than adversity move through investigations faster and maintain better institutional morale.
6. Leadership Support
When institutional leadership visibly supports compliance and cooperation, staff follows. Leadership support is contagious.
7. Honest Communication
Institutions that answer questions honestly, even when answers are uncomfortable, build credibility with OCC. Credibility is valuable.
The Timeline
If you prepare effectively, here’s a typical timeline:
Week 1: OCC notifications, initial record requests Week 2-3: Record review, initial interviews Week 4: Analysis and clarification questions Week 5-6: Final interviews, conclusion of fieldwork Week 7-8: Report drafting and preliminary findings Week 9: Formal findings issued
If your institution is prepared and cooperative, investigation can complete in 8-10 weeks.
If your institution resists or records are disorganized, investigation can extend to 4-6 months, creating unnecessary disruption.
Final Thoughts
The institutions that handle OCC investigations most effectively are those that understand a simple truth: OCC is here to improve your institution, not to destroy it.
Preparation shows that you take improvement seriously. Cooperation demonstrates institutional confidence. Clear documentation proves that you’ve thought through your operations.
When OCC investigators arrive at a prepared, cooperative institution, what they find is usually an organization that’s already working hard to do things right. That investigation becomes an affirmation and refinement, not an indictment.
That’s the kind of investigation outcome every institutional leader should want.
Prepare your institution for that outcome. Start today.