COMPLAINT REVIEW Model Policy Effective Date August 1, 1989 Number Subject Complaint Review Policy Reference Special Instructions Distribution Reevaluation Date July 31, 1990 No. Pages I. PURPOSE: The purpose of this policy is to inform all sworn employees of departmental procedures for addressing complaints of misconduct. II. POLICY It is the policy of this department to investigate all complaints of alleged officer misconduct, and to equitably determine whether the allegations are valid or invalid and to take appropriate action. III. DEFINITIONS Internal Investigations Authority: The designated employees or unit ultimately responsible for conducting investigations into allegations of employee misconduct. IV. PROCEDURES A. Bases for Disciplinary Action 1. State law provides that officers shall not be subject to disciplinary action by the department, unless their actions constitute one of the following: a. A violation of state, local or federal law; b. Conduct unbecoming an officer; c. Incompetency; d. A violation of written or verbal departmental rules, policy, procedure, or orders; e. Nonfeasance. B. Supervisor's Role 1. The primary responsibility for maintaining and reinforcing officer conformance with the standards of conduct of this department shall be with the officer and the first line supervisors. 2. Supervisors shall familiarize themselves with the officers in their unit, and closely observe their general conduct and appearance on a daily basis. 3. Supervisors should remain alert for indications of behavioral problems or changes that may affect an officer's normal job performance. Such information should be documented by the supervisor. 4. Where a supervisor perceives that an officer may be having or causing problems, the supervisor should assess the situation, and determine the most appropriate action. 5. A supervisor may recommend additional training to refresh and reinforce an officer's skills. 6. Counseling may be used by the supervisor as follows: a. To determine the extent of any personal or job problems that may be affecting performance, and to offer assistance and guidance; b. To discuss minor and infrequent rule violations, and to discuss the substance and importance of the rules with the officer. 7. The supervisor shall document all instances of counseling or additional training used to modify an officer's behavior. C. Citizen Complaints 1. All citizen complaints pertaining to departmental policies or procedures or that allege officer misconduct shall be documented and investigated by the department. a. Complaints may be given in person, over the telephone or in writing. b. Anonymous complaints, or complaints from citizens who wish their names to be held in confidence, shall be accepted for investigation. 2. Citizen complaints may be accepted by any supervisor of the department who is approached for such assistance. a. The supervisor shall document the complaint in writing and promptly forward the complaint to the internal investigations authority. b. The supervisor may attempt to resolve a complaint by an exploration of departmental policies and procedures, where applicable. Attempts to resolve complaints shall be noted on the complaint report. 3. Upon receipt of a citizen's complaint, the internal investigations authority shall contact the complainant and advise him that the matter is under investigation, and that the complainant shall receive written notice of the final disposition of the case. The internal investigations authority shall advise the complainant of departmental procedures for the processing and investigation of citizen complaints. 4. Investigations of complaints shall be completed within the departmentally specified time period for such investigations. Regular status reports shall be filed. D. Supervisor Investigation 1. Upon becoming aware of or receiving notification of potential misconduct by an officer under his command, a supervisor shall begin an immediate investigation of such allegations. 2. The supervisor's investigation shall be limited to questioning the officer, witnesses and complainants, and securing all relevant evidence. 3. Upon completion of the investigation, the supervisor shall forward to the unit commander, through appropriate channels: a. A report of the alleged violation; b. All documents and evidence relating to the investigation; c. Recommendations for further investigation, or other disposition of the case. E. Responsibilities of Internal Investigations Authority 1. The internal investigations authority shall have primary supervisory responsibility for the review and investigation of all complaints against officers, whether initiated by a citizen or the department. While investigating a complaint of misconduct, the internal investigations authority is delegated the authority of the chief for the purposes of directing the investigation. 2. Upon receipt of a complaint, an initial determination whether to assume primary investigative responsibility for the case or to refer it to the appropriate supervisor shall be made. A supervisor's investigation may be ordered stopped at any time, and full investigative authority assumed by the internal investigations authority. a. Allegations of minor rules violations may be investigated by the appropriate supervisor. b. Allegations of misconduct that could result in discharge, suspension or demotion, or criminal charges being sought, will be investigated by the internal investigations authority. 3. The internal investigations authority shall have the following responsibilities: a. Maintenance of a complaint log; b. Maintenance of a central file for complaints in a secured area, kept in conformity with state law; c. Conducting a regular audit of complaints to ascertain the need for changes in training or policy; d. Publication of an annual summary, that shall be made available to the public, of the complaints received and investigated by the department, and their final disposition. 4. The internal investigations authority may recommend to the chief that a case be referred to the prosecutor for criminal charges. F. Officer's Duties and Rights During Investigation 1. Scope of Questioning During Interview a. Prior to an internal interview concerning alleged criminal misconduct, the officer under investigation shall be read the Miranda rights. The provisions of Miranda will be adhered to throughout the interview. b. Prior to an internal interview concerning allegations of administrative violations, the officer under investigation shall be advised as follows: (1) The officer can be required to answer all questions specifically, narrowly and directly related to the performance of his official duties. (2) Refusal to comply with an order to answer such questions is a violation of departmental rules which may subject the officer to further discipline up to, and including dismissal. (3) Any required self-incriminatory admission made during the interview may only be used in subsequent administrative proceedings, and shall not be used against the officer in subsequent criminal proceedings. 2. Counsel at Interview a. Officers will be permitted to have an attorney, union representative. supervisor or other personal representative with them in the room during any interview conceding allegations of misconduct by the employee. b. The officer's representative is limited to acting as an observer of the interview, except where the interview focuses on, or leads to, evidence of potential criminal activity by the officer. In that case, an officer's legal representative may advise and confer with the officer doing the interview. 3. Special Examinations a. An officer under investigation may request an intoximeter, blood, urine, psychological, polygraph or medical examination if it is believed that such an examination would be beneficial to his or her defense. Also, the department may require such examination upon the direction of _____________________________________________ (Designated Department Official) b. An on-duty supervisor is required to direct an officer to submit to a breath, blood or urine test when a level of inebriation or drug usage is suspected as the factor directly related to duty performance or operating a department vehicle. c. If an identification line-up is solely for administrative purposes, and criminal prosecution is not anticipated, an officer can be required to participate in a line-up. d. Property belonging to the law enforcement agency is subject to inspection where the employer has a reasonable suspicion that evidence of work-related misconduct will be found therein. Property includes, but is not limited to, vehicles, desks, files and storage lockers. e. In the event that a polygraph is ordered by the department for an officer, the complainant must also agree to submit to a polygraph. 4. Rights During an Internal Investigation a. Prior to any interview or special examination, the officer under investigation will receive confidential written notification of the complaint. This notification will include a copy of the original complaint or a summary adequately listing the relevant facts, and the officer's rights and responsibilities during the investigation. b. All interviews will be conducted while the officer is on duty, unless the seriousness of the investigation is such that an immediate interview is required. c. The interview will be held at the officer's work area, or at a location agreeable to both parties. d. During interviews conducted by the internal investigations authority, there will be one member designated as the interviewer; only the interviewer will ask questions of the officer. e. Officers under investigation shall not be subjected to offensive language, nor threatened with transfer, dismissal, or disciplinary action during an interview. No promise or reward shall be made by the internal investigators as an inducement to answer any questions. f. The compete interview shall be recorded whenever conducted by the internal investigations authority. Any interruptions will be noted, and any relevant discussions transpiring during breaks will be summarized on the tape recorder and verified for accuracy by the officer. g. Accused officers or their supervisor may contact the internal investigations authority to ascertain the status of the investigation of a complaint filed against them. h. The accused officers will be given an opportunity to explain their actions to the chief prior to the imposition of any disciplinary action. G. Command Action 1. Upon receipt of a supervisor's report conceding a violation of rules, the unit commander shall forward a copy to the internal investigations authority. 2. Upon review of the case, the unit commander may determine that further investigation is required, and order such investigation. Where the internal investigations authority has assumed responsibility for an investigation, they may direct suspension of a unit commander's investigation. 3. After completion of all investigations, the unit commander shall forward to the internal investigations authority a full report stating recommendations for disposition of the case, along with the supporting evidence for such recommendations. H. Chief's Action 1. Upon receipt of a supervisor's recommendations on a disciplinary matter, or upon completion of an internal investigation, the internal investigations authority shall submit recommendations to the chief as to whether a violation has been sustained according to the evidence. 2. The chief shall review the report and supporting documents, and shall give final approval of the disposition of the case as follows: a. Sustained: Evidence sufficient to prove allegations. b. Not sustained: Insufficient evidence to either prove or disprove allegations. c. Exonerated: Incident occurred but was lawful or proper. d. Unfounded: Allegation is false or not factual. e. Policy failure: Flaw in policy caused incident. 3. Upon final approval, the chief shall return the disciplinary recommendation to the officer's supervisor for service and execution of the decision. I. Discipline Without Charges and Specifications 1. A supervisor may administer an oral reprimand of record for minor violations. 2. A supervisor may administer a written reprimand of record for minor violations that would not merit demotion, suspension or termination. J. Discipline With Charges and Specifications 1. When recommended disciplinary action may result in suspension, dismissal or demotion, a formal statement of charges and specifications shall be prepared by the appropriate officer. 2. The charging form shall include: a. The particular rule(s) alleged to have been violated; b. The dates and places where the alleged acts or omissions occurred; c. A statement of the alleged acts or omissions; d. The recommended disciplinary action; e. The officer's right to appeal, and appellate procedures; f. Hearing date, time and place. 3. The supervisor of the accused officer shall serve the charges and specifications upon the officer within the departmentally specified time period prior to the hearing date. a. Where possible, service shall be made while the officer is on duty. b. Where on-duty service is not feasible, the officer may be served at home. K. Departmental Hearing 1. A departmental hearing shall be convened upon the request of an officer against whom charges and specifications alleging misconduct have been filed, in order to consider such charges. 2. The chief shall designate an appropriate panel to conduct the departmental hearing. 3. Hearing proceedings shall comply with the charged officer's due process rights as follows: a. The officer may obtain a representative for the hearing; b. The officer may present evidence and witnesses on his or her behalf; c. The officer may cross-examine adverse witnesses; d. The proceedings shall be recorded or transcribed; e. The department shall carry the burden of proving the violation or misconduct by a preponderance of the evidence; f. Witnesses shall testify under oath, when authorized by law; g. The hearing shall be open unless there is a compelling need for secrecy. 4. The chief shall make a final recommendation as to the imposition of any disciplinary measures after a full review of the departmental hearing proceedings. 5. Upon the determination of the chief or the pertinent appointing authority that dismissal or other disciplinary action of the employee is merited, the appropriate unit shall be directed to prepare and submit a statement to the officer, including the following: a. The reason for the disciplinary action; b. The effective date of dismissal or other disciplinary action; c. The status of fringe and retirement benefits after dismissal, where appropriate; d. A statement detailing the contents of the officer's employment record as pertains to the disciplinary action; e. The appropriate procedures for appeal of the disciplinary action. L. Appeals The officer may appeal any decision as outlined in state law, ordinances, collective bargaining agreement or departmental procedures. BY ORDER OF _________________________ CHIEF OF POLICE This model Complaint Review Policy is intended to serve as a guide for the police executive who is interested in formulating a written procedure to govern complaint review. The police executive is advised to refer to all federal, state and municipal statutes ordinances, regulations, and judicial and administrative decisions to ensure that the policy he or she seeks to implement meets the unique needs of the jurisdiction.