Disciplinary Procedures Flashcards
When may the Public Integrity Unit forward information to an officer’s assigned bureau for notification purposes only?
When a member of the public alleges relatively minor misconduct but declines to file a complaint.
Are information only notifications logged in IAPro and require a BlueTeam entry?
No, unless further information develops or constitutes an internal inquiry or complaint filing.
What can trigger an internal inquiry concerning the performance of individual officers?
A request from the Chief of Police or during day-to-day operations.
Does the initiation of an internal inquiry necessitate a formal complaint?
No, it does not require the existence of a formal complaint.
What types of incidents may lead to an internal inquiry?
Officer-involved shootings, critical incidents, and anonymously submitted allegations of officer misconduct.
What happens when the Public Integrity Unit receives an internal inquiry from the Office of the Chief?
The internal inquiry will be entered into IAPro.
What is done with the PIU investigative summary after a conclusion of an internal inquiry?
It is forwarded to the Office of the Chief by the Public Integrity Unit commander.
What are the possible dispositions of an internal inquiry after final disposition from the Chief of Police is received?
Mark it as closed, convert it to a Formal Complaint, or forward it as an information only notification or Informal Complaint.
Who is responsible to receive and conduct internal administrative investigations involving formal complaints against officers?
The Public Integrity Unit.
What are officers prohibited from doing in relation to official documents?
Officers shall not permit the use of any official document by unauthorized persons.
What is one action prohibited regarding law enforcement sensitive information?
Officers are prohibited from using law enforcement sensitive information for financial or private interests.
What is required before lending or giving official credentials to others?
Approval of the Chief of Police is required before lending or giving official credentials.
What is the consequence if officers lend their uniform items to unauthorized persons?
Recommended disciplinary action is stipulated in the procedures.
In what circumstances can officers not use their official title or photograph?
They cannot use them in connection with testimonials or advertisements without approval.
What are the limitations regarding officers using their authority or official position?
Officers cannot use it for financial gain or to obtain favors, among others.
What action can officers not take without proper approval related to endorsements and referrals?
Officers cannot endorse, recommend, or facilitate commercial products without approval.
What actions are prohibited in relation to endorsements and referrals?
Officers cannot endorse technical or professional services without approval.
What disciplinary actions are specified for the first, second, and third offenses regarding endorsements and referrals?
1st offense - Written Reprimand, 2nd offense - 3 days suspension, 3rd offense - 1 week suspension.
What actions must supervisors undertake to avoid disciplinary action?
Supervisors must properly supervise employees and not make biased employment decisions.
What types of laws and regulations must officers abide by according to rule 1.01?
Officers must abide by all laws, ordinances, and regulations of the United States, Commonwealth of Kentucky, and LFUCG.
What may be cause for disciplinary action based on a conviction in court of a misdemeanor or violation according to the disciplinary rules?
A conviction in court of a misdemeanor or violation may be cause for disciplinary action.
What is the recommended disciplinary action for a 1st offense of a Class A misdemeanor as per rule 1.01?
Recommended disciplinary action: Class A misdemeanor - Open Recommendation
What is the recommended disciplinary action for a 1st offense of a Class B misdemeanor as per rule 1.01?
Recommended disciplinary action: Class B misdemeanor - Open Recommendation
What may be cause for termination based on a conviction in court of a felony according to the disciplinary rules?
A conviction in court of a felony may be cause for termination.
What is the recommended disciplinary action for a 1st offense of a felony as per rule 1.01?
Recommended disciplinary action: 1st offense - Termination
According to rule 1.02, how should officers conduct themselves at all times?
Officers should conduct themselves at all times to reflect favorably on the department.
What does misconduct of an officer include as per rule 1.02?
Misconduct includes actions that bring the department into disrepute or reflect discredit upon the officer.
What is the recommended disciplinary action for misconduct of an officer according to the rules?
Recommended disciplinary action: Open Recommendation
What are officers prohibited from soliciting or accepting as per rule 1.03?
Officers may not solicit or accept gifts, gratuities, bribes, or rewards.
What is the recommended disciplinary action for a 1st offense of seeking or accepting gifts, gratuities, bribes, or rewards according to the rules?
Recommended disciplinary action: 1st offense - Termination
Under what circumstances should officers wear and use body-worn cameras according to rule 1.04?
Officers issued body-worn cameras shall wear and use them as outlined in department policies.
What is the purpose of G.O. 1973-02L?
To establish disciplinary procedures for sworn officers of Lexington Police Department.
Define ‘Accountability’ as per the policy.
The duty of officers to truthfully acknowledge and explain their actions when requested.
What does ‘Affirmative Duty’ refer to?
The personal responsibility of an officer to report wrongdoing, not just when requested.
Explain ‘Bullying’ according to the policy.
Repeated inappropriate behavior or mistreatment with a power imbalance.
What is the definition of ‘Formal Complaint (Form #111)’?
A complaint alleging misconduct, sworn to by the complainant and duly notarized.
Describe ‘Informal Complaint’ in the context of the policy.
A complaint alleging misconduct without requiring a signed affidavit.
What does ‘Disciplinary Action’ entail?
Termination, demotion, pay decrease, suspension without pay, or a written reprimand.
What is the significance of ‘Internal Inquiry’?
An investigative review of department and/or officer performance initiated by the Chief.
When must the service of any suspension start according to the notes?
Within 30 calendar days of the Urban County Council’s approval.
How should suspension hours be served?
Consecutively.
When should all hours of a suspension of 40 hours or less be served?
Within the same calendar week.
What are the exceptions to the suspension service start date requirements?
Officers on leave status or other extenuating circumstances.
What happens if an officer is on suspension for any portion of a calendar workweek?
The total hours worked plus suspension hours should not exceed 40 hours.
What is prohibited for an officer on suspension regarding work assignments?
Working any LFUCG-related assignment for overtime or regular base compensation.
What restrictions apply to an officer on suspension?
Prohibited from exercising police authority, carrying concealed weapons, working off-duty police jobs, wearing uniforms, etc.
What is expected from an officer in terms of compliance with criminal subpoenas during suspension?
Full compliance with all served criminal subpoenas.
How are informal complaints forwarded for entry into IAPro?
Informal complaints are forwarded via BlueTeam and the chain of command to the Public Integrity Unit for entry into IAPro.
Who has the authority to determine if an informal complaint can be resolved or escalated?
The bureau assistant chief, or designee, has the authority to determine if an informal complaint can be resolved or escalated.
What happens if an informal complaint is escalated to a formal complaint?
The Public Integrity Unit will assume investigative responsibility, and all investigative records will be transferred to them.
How is a formal complaint internally initiated by a department employee?
A department employee signs a Formal Complaint (Form #111) to internally initiate a formal complaint.
How can a member of the public file a formal complaint against an officer?
A member of the public can file a formal complaint by completing Formal Complaint (Form #111) at the Public Integrity Unit or LFUCG Council Clerk.
In what circumstances can an officer have contact with a complainant or witness?
An officer can have contact in exigent circumstances within their duties or until the case is disposed.
Who is responsible for investigating all formal complaints within the department?
The Public Integrity Unit is responsible for investigating all formal complaints within the department.
How often is the initiator of a formal complaint updated on the status of the investigation?
The initiator is updated every thirty days on the status of the investigation.
Who can be investigated for alleged misconduct without a signed, sworn complaint?
An officer accused of criminal activity.
What type of complaint requires an affidavit signed and sworn to by the citizen?
Complaint alleging any violation not constituting criminal activity.
Under what circumstances can an employing agency bring charges against an officer without a sworn citizen statement?
If the agency can independently substantiate the allegations.
When must an employing agency conform to specific provisions regarding an officer’s conduct before disciplinary action?
When accused of a violation of law enforcement procedures within the agency.
What happens if an officer is suspended without pay but later found not guilty?
Entitled to full back pay and benefits for the regular hours they would have worked.
In what case is an employing agency not required to follow certain provisions in addressing an officer’s conduct?
Conduct that would constitute a violation of the general employment policies.
Who is responsible for investigating citizen complaints or allegations of misconduct?
The employing agency or another designated law enforcement agency.
What happens if there is not sufficient corroborating evidence for a formal complaint?
The investigation will be held in abeyance until civil litigation, including appeals, is concluded.
When will an investigation be held in abeyance if the allegations do not warrant termination according to the Chief of Police?
Until the civil litigation, including appeals, is finally concluded.
What action will be taken if a formal complaint is filed and the allegations would warrant termination as per the Chief of Police?
The investigation will continue until completed following the policy.
What can the department do to preserve evidence if there is a delay in the investigation?
Act to preserve any evidence in danger of being lost.
What must officers do if involved in civil actions arising from acts under color of authority?
Inform their supervisor about their involvement.
What should officers do when participating in administrative investigations regarding making statements?
Truthfully answer all questions related to job performance and fitness for duty.
What must an officer do upon the order of the Chief of Police regarding providing a statement?
Provide a complete and truthful statement to the Chief’s representative or designee.
If necessary, what examinations must an officer submit to in an administrative investigation?
Polygraph, medical, laboratory examinations required by the department.
What should officers submit in connection with a complaint where financial information is material to the investigation?
Financial disclosure statements in accordance with department procedures.
What actions should the agency avoid concerning staff sexual abusers during an investigation?
Limiting the agency’s ability to remove alleged abusers from contact with detainees.
What evidentiary standard should the agency impose for administrative investigations of sexual abuse or harassment?
No standard higher than a preponderance of the evidence.
What disciplinary sanctions can staff face for violating agency sexual abuse or harassment policies?
Disciplinary sanctions up to and including termination.
What factors are considered when determining disciplinary sanctions for staff in cases related to sexual abuse?
The nature and circumstances of acts, disciplinary history, and sanctions for similar offenses.
In cases of staff termination related to sexual abuse policies, who must the terminations be reported to?
Law enforcement agencies and relevant licensing bodies.
Under what circumstances shall a no-contact assignment pending investigation be expunged or retained in a staff member’s file?
Following a determination that the allegation of sexual abuse is not substantiated.
According to the KRS 95.450, which cities are covered by the discipline provisions for police and fire department members?
Urban-county governments and cities on DLG’s registry of cities belonging to the second and third classes on January 1, 2014.
When can a member of the police or fire department be reprimanded, dismissed, suspended, or reduced in grade or pay according to KRS 95.450?
For inefficiency, misconduct, insubordination, or violation of law or rules after charges are preferred and a hearing conducted.
Who can file a complaint against a member of the fire department according to KRS 95.450?
Any person by filing it with the clerk of the legislative body.
What actions can be taken by the mayor, city manager, or legislative body upon probable cause of guilt by a member of the police department?
They may prefer charges against the member leading to dismissal or punishment.
When must the legislative body proceed to hear the charges against a member of the police or fire department according to KRS 95.450?
Within ten (10) days after the charges were filed unless otherwise agreed.
How many days before the hearing must the member accused be served with a copy of charges according to KRS 95.450?
At least five (5) days before the hearing.
Define insubordination in the context of police behavior.
Insubordination is a behavior reflecting an officer’s refusal to be supervised or follow orders.
What does misconduct refer to regarding police officers?
Misconduct encompasses acts or omissions violating criminal law, police procedures, or employment policies.
Explain the concept of progressive discipline in law enforcement.
Progressive discipline involves escalating disciplinary measures when an officer fails to correct issues.
What is the purpose of the Public Integrity Unit in police investigations?
The Public Integrity Unit investigates misconduct or inappropriate behavior among officers.
Describe retaliatory conduct as defined in the course notes.
Retaliatory conduct aims to punish those who report an officer’s misconduct in good faith.
What constitutes a violation as per the guidelines mentioned?
A violation is a failure to comply with departmental rules, laws, or lawful directives.
Who has the authority to recommend disciplinary actions to police officers?
Only the Chief of Police has the discretion and authority to recommend disciplinary actions.
Explain what a written reprimand entails in the disciplinary system.
A written reprimand is a formal warning for unacceptable behavior, with potential further action if repeated.
What is the purpose of forwarding disciplinary action documentation to the Public Integrity Unit?
Documentation is sent to the Public Integrity Unit and retained for five years after an officer’s service.
Define suspension without pay in the context of disciplinary actions.
A suspension without pay entails reduced hours or workweek as a serious penalty for misconduct.
How should a notice of hearing be served on the officer?
By certified mail, return receipt requested, or by personal delivery.
When should copies of sworn statements be furnished to the officer before a hearing?
No less than twelve (12) days prior to the time of the hearing.
What happens if a citizen who filed a complaint does not appear at the hearing?
Any charge resulting from that complaint shall be dismissed with prejudice.
What rights does the accused officer have during a hearing?
Right to counsel, right to obtain and present evidence, right to cross-examine witnesses.
What happens if an officer is not given a hearing within seventy-five (75) days of a charge?
The charge shall be dismissed with prejudice, and the officer shall be reinstated with full pay and benefits.
What options does the hearing authority have if a witness fails to appear under subpoena?
They may report to the Circuit Court for enforcement through contempt proceedings.
What is the recommended disciplinary action for cowardice?
Termination
What constitutes insubordination by an officer?
Failure to follow lawful orders or using disrespectful language towards a supervisor.
When should an officer report witnessing misconduct by another officer?
Immediately to a supervisor.
What action should be taken if an officer violates any rules of the department?
Open Recommendation
What is the recommended disciplinary action for preventable collisions after the third offense within 12 months?
Open Recommendation
What should officers do before recording images or conversations of another department officer?
Seek knowledge or permission of the department officer.
What type of language or actions towards a supervisor constitute insubordination?
Disrespectful or abusive.
When should officers report issued legal orders that may impair law enforcement duties?
Immediately to a supervisor.
What type of materials can be posted within department facilities?
Only authorized materials.
What type of environment should all employees have the right to work in?
An environment free of harassment and discrimination.
Who is included in the group that employees should show respect and courtesy towards?
All employees of the department.
What is the recommended disciplinary action for the first offense of using blogs or social networking sites to harass another employee?
Written Reprimand.
Who are officers directly accountable to for their actions?
The Chief of Police.
What is the responsibility of officers regarding duty assignments?
To report for any and all duty assignments on time and to the assigned location.
What is the recommended disciplinary action for the first offense of neglecting duty?
1 week suspension.
What should officers do in regards to maintaining personal information?
Maintain a personal telephone and report changes within 48 hours.
What is the recommended disciplinary action for the first offense of unsatisfactory performance/inefficiency?
Written Reprimand.
What are some indications of unsatisfactory performance/inefficiency?
Repetitious lack of knowledge, inability to perform tasks, failure to meet work standards.
When should a police officer be advised in writing of the reasons for a suspension?
Prior to or within twenty-four (24) hours after suspending the officer.
What rights must be afforded to an officer if they are under arrest or likely to be arrested in a criminal investigation?
Constitutional due process rights, including the right to remain silent and the right to counsel.
When can an officer be subjected to interrogation for alleged conduct violating law enforcement procedures?
Only after forty-eight (48) hours from the time the request for interrogation is made, in writing.
How should the notice of interrogation be served to a police officer?
By certified mail, return receipt requested, or by personal delivery.
When should the interrogation of an officer be conducted?
While the officer is on duty.
What rights should be recognized during a hearing for a charged officer?
Administrative due process rights, including determining substantial evidence and disciplinary action.
Can public statements be made concerning a charged officer before final disposition of the charges?
No, public statements should not be made until final disposition of the charges.
What disciplinary action is recommended for a first offense under the category of Political Activity?
Termination
According to department procedures, what must officers do with property and evidence they come across?
Process it according to established department procedures
What type of activity are officers not allowed to engage in, as per the Strike category?
Any strike-related activity
In terms of General Conduct, what must officers refrain from doing with facts related to law enforcement?
Not lie, falsify, conceal, distort, diminish, embellish, or fail to disclose facts
What is the recommended disciplinary action for a third offense under the Processing Property and Evidence category?
Termination
What action must officers take if they need to use immediate police action?
Notify their immediate supervisor as soon as possible
Under the category of Use of Force, what restriction is placed on officers regarding the amount of force used in any situation?
Use only as much force as reasonably necessary
What must officers adhere to regarding submitting department reports under Department Reports?
Submit reports on time and in accordance with established procedures
What kind of activity concerning political matters while on duty is prohibited as per the Political Activity category?
Placing campaign literature on government property, soliciting political funds, etc.
In the context of Treatment of Persons in Custody, how should officers handle individuals who are in their custody?
Handle them in accordance with law and established department procedures
How many days does the member accused have to demand trial after charges are filed?
10 days
Who can compel attendance of witnesses at hearings by issuing a subpoena?
Legislative body
What happens if a witness fails to appear in response to a subpoena?
District Judge may compel obedience through contempt proceedings.
What are the possible punishments for a member of a police or fire department found guilty?
Written reprimand, suspension (up to 6 months), grade reduction, dismissal.
To which court can a member found guilty by the legislative body appeal?
Circuit Court
What are the guidelines for carrying and using firearms by officers?
Officers must follow the law and department procedures, avoiding careless or imprudent handling.
When can officers draw or display their firearms in public?
Only for official inspection, legitimate law enforcement purposes, or approved by a supervisor.
What are the restrictions regarding officers consuming alcohol while on duty?
Officers cannot consume alcohol unless in the performance of duty and under orders.
What action should officers take if they are aware of a safety risk due to medication use?
Officers should immediately report such use to their immediate supervisor.
What are the consequences for off-duty officers loitering in bars in uniform?
1st offense - Written Reprimand, 2nd offense - 1 week suspension, 3rd offense - 1 month suspension.
What are the rules for officers driving department vehicles under the influence?
Officers must not drive if their blood alcohol level exceeds the specified limit by policy.
How should officers respond to conflicting orders from supervisors?
Officers should seek guidance, inform about conflicts, and obey the last order under the supervisor’s responsibility.
How can an individual file a complaint against a police officer?
They can call the Public Integrity Unit during business hours or use the online form.
What information can an individual provide while filing a complaint?
Name, address, phone number, incident details, officer’s information, and complaint summary.
Who can an individual contact if they are uncomfortable reporting directly to the Police Department?
They can contact the LFUCG’s Office of the Citizens’ Advocate for assistance.
What are the responsibilities of the Citizens’ Advocate when assisting with complaints?
Explain the complaint process, assist in filing, accompany to the department, and provide updates.
How are complaints classified and processed?
Complaints are classified as Formal or Informal and processed accordingly.
How are Informal Complaints initially received and handled?
Informal complaints can be received by bureau assistant chiefs, supervisors, or the Public Integrity Unit.
What is the timeline for completing an Informal Complaint investigation?
An informal complaint investigation should be completed within 30 days.
What actions are taken if the Informal Complaint investigation exceeds 30 days?
An extension can be requested from the Public Integrity Unit.
How is the complainant updated during the investigation process?
The investigating supervisor notifies the complainant every thirty days until resolved.
What is the duty of officers regarding intervention in cases of excessive force?
Officers have an affirmative duty to intervene to prevent or stop the use of excessive force by another officer when safe.
What action is required if officers observe another officer using excessive force?
They must report the use of excessive force to a supervisor as soon as possible, documenting their observations in writing.
How should officers operate department vehicles?
Officers should operate department vehicles carefully, prudently, and obey all laws and departmental policies.
What should officers do if there is a loss or suspension of their driver’s license?
It should be immediately reported to the officer’s supervisor and then forwarded to the Office of the Chief and the Public Integrity Unit.
What is the recommended disciplinary action for the first offense of using department equipment improperly?
A 3 weeks suspension for the first offense.
What is the recommended course of action regarding dissemination of department information?
Officers should treat official business as confidential, disseminate information only to intended recipients, and use information only for justified law enforcement purposes.
What actions are unacceptable concerning official law enforcement documents and communications?
Officers shall not alter or tamper with official law enforcement documents or communications unless approved by a supervisor.
Under what circumstances can officers interfere with cases being handled by other officers?
They can interfere if ordered by a supervisor or if there is a belief that a manifest injustice would result from inaction.
When must the officer(s) be provided a copy of the complaint?
Within twenty-one (21) calendar days, or within seven days of the disposition of a collateral criminal investigation.
What information should the complaint provide to advise the officer of misconduct?
Specific allegations of misconduct.
What forms/documents should be included in the notification to the officer?
Officer’s Rights Form, Formal Complaint (Form #111), policy copy, and request for a recorded formal investigative interview.
How long should formal complaint investigations be completed within?
Sixty (60) days.
In what time frame should the Public Integrity Unit provide the Chief of Police with a written summary of the investigation findings?
Within 7 days after the completion of the investigation.
What two options does the Chief of Police have if findings support improper conduct?
Chief’s Discipline Settlement Conference or presentation to the Disciplinary Review Board.
Who is responsible for considering specific facts of officer misconduct for disciplinary recommendations?
The Chief of Police.
What purposes does effective discipline serve in law enforcement?
To change behavior, communicate expectations, ensure officer safety, and restore public confidence.
What factors can the Chief of Police consider in addition to the recommendation of the Disciplinary Review Board?
Nature of the offense, officer’s background, conduct involved, impact on public trust, and more.
Explain the concept of progressive discipline and its relevance in disciplinary recommendations.
Progressive discipline may be employed based on recent infractions, severity of offenses, and prior discipline.
How should complaints against a law enforcement department or its officers be received?
All complaints should be accepted and investigated, regardless of the format or source.
What should officers do if they receive inquiries that may not constitute a formal complaint?
Evaluate if inquiries constitute a question, open records request, or a complaint.
What is the process for handling anonymous complaints of officer misconduct?
Anonymous complaints are reviewed by the Public Integrity Unit (PIU) for further investigation.
Who serves as a non-voting liaison to the Disciplinary Review Board?
A representative of the Department of Law.
What does the Disciplinary Review Board do with the evidence?
Considers all available evidence and makes written recommendations to the Chief.
What does the Chief of Police do within 30 days of the Disciplinary Review Board meeting?
Accept, reject, or alter the Board’s recommendations.
What happens if an officer rejects the Chief’s recommended disciplinary charge(s) and proposed sanctions?
The Department of Law will file the charges with the urban county council.
What happens if the Chief of Police offers a disciplinary recommendation that an officer accepts?
It will be documented on the Agreement of Conformity with KRS 95.450/15.520 and Release.
What are the possible conclusions of the formal complaint disciplinary process?
Proper Conduct, Improper Conduct, Insufficient Evidence, Unfounded.
What is the deadline for the clerk to certify the transcript to the Circuit Court?
Within seven (7) days after the request is made.
What action can the Circuit Court take if the clerk fails to certify the transcript within the specified time frame?
Compel the filing by entering a mandatory order, and impose fine and imprisonment for contempt.
Define ‘Complaint’ as per the section regarding complaints against police officers.
Any statement, whether written or verbal, alleging misconduct by an officer.
What does ‘Misconduct’ encompass in the context of police officers?
Any act or omission violating criminal law, law enforcement procedures, or general employment policies.
What types of disciplinary actions are included in the definition as per the notes?
Termination, demotion, decrease in pay or grade, suspension without pay, and a written reprimand.
What types of conduct are prohibited by the department’s policy?
Retaliatory, offensive, motivated by bias based on race, religion, disability, sexual orientation, ethnicity, gender, or gender identity.
Who has the responsibility to remove materials violating the department’s policy?
Department supervisors must remove such materials.
Who must approve the use of department badges, uniforms, emblems, and name?
Chief of Police or designee must approve.
What action should be taken before applying department symbols to non-uniform apparel?
Approval from Chief of Police or designee is required.
What relationships are officers prohibited from engaging in?
Relationships with individuals under criminal investigation, indictment, arrest, incarceration, or engaging in criminal activities.
What establishments or organizations should officers avoid joining or supporting?
Establishments or organizations advocating, inciting, supporting criminal acts, or promoting discrimination.
