Investigations/Complaints Flashcards
What is SOG 1.2.5
investigations/Complaints
What is the purpose of the Investigations/Complaints SOG?
To establish a guide pertaining to employee conduct, performance, and responsibilities so that all personnel conduct themselves according to rules of good behavior and good conduct expected by the district
What factors should be considered for corrective actions?
- How many different offenses are involved
- Seriousness of the offense
- Time interval & employee response to prior disciplinary action(s)
- Previous work history of the employee
What is the objective of any corrective action?
to improve or correct performance, efficiency, and/or conduct of the employee receiving discipline
Company officers are encouraged and expected to do what
Document necessary conversations with employees when performance issues are noted
A letter of guidance is to be considered what?
Corrective and is generated when counsel is necessary, or the infraction is of a minor nature
All letters of guidance shall be forwarded to who?
The HR Director with a copy to the Assistant Chief
If the infraction has the potential to necessitate anything more formal than a letter of guidance, the matter should_____?
Be referred to the Assistant Chief who will determine the need for investigation and make appropriate assignments.
What are complaints an opportunity for?
For the District to improve our operations and/or public perception of the services we provide.
The District will accept and document all complaints alleging _____as well as any ______.
Employee misconduct
dissatisfaction with a district policy, practice or service coming from an external source
What are the 6 reasons we accept and document complaints?
- Ensure allegations against department/employees are handled
- Determine underlying facts
- Identify areas of misunderstanding
- Identify personnel who attitude, behavior and/or performance in in need of correction
- Protect district/personnel
- identify policies that need fixing
The complaint initiation process is not incumbent on ____?
The cooperation of the complaining party.
In the event that the complaining party is unable or refuses to cooperate with the investigation or there is no identifiable complainant and the information known to the officer satisfies the departments definition of a complaint, who is the complainant?
The district
Sources a complaint can originate from?
- Individual
- 3rd party
- Anonymous Source
- Employee
- Chain of command
- Non-district source
- Civil claim or suit
When a non-officer recieves a citizens complaint constituting a dissatisfaction complaint or complaint about employee misconduct, he/she shall…
Notify supervisor or up chain of command
Document of no officer available. At a minimum name, contact info, nature of complaint
Ensure info passed ASAP during duty shift
If concerned about chain of command, go straight to HR or AC
Whenever an employee becomes aware of the misconduct of another employee, or conduct which violates department policies, rules or regulations, he/she shall…
Notify up the chain of command
If concerned about chain of command go straight to HR or AC
When shall an officer request a party with a complaint to fill out a complaint form?
When the become aware of:
a complaint
employee misconduct
violation of dept. policies, rules or regs that has not been reported previously
a person requesting to make a complaint
of an incident which will likely result in a complaint or an administrative investigation
Upon becoming aware of a complaint, the officer (or HR Director) shall take the following steps:
Refer matter to AC who will give further direction regarding investigation
Forward complaint, complaint form, and/or any preliminary investigation documentation to the HR Director and/or AC
Classification of Complaints
Misconduct-Serious: misconduct for which termination is possible
Misconduct-Minor: misconduct for which termination is unlikely
Misconduct-Undetermined
Negligence-Serious: negligence for which termination is possible
Negligence-Minor: negligence for which termination is unlikely
Negligence-Undetermined
Dissatisfaction complaint
What is the definition of misconduct?
Deliberate violation of a rule, policy, regulation, or directive
What is the definition of negligence?
The omission to do something which a reasonable person, guided by those considerations which ordinarily regulate human affairs, would do, or the doing of something which a reasonable and prudent person would not do
Who’s responsibility is it to ensure that each complaint is processed and when necessary, followed up by investigation.
Assistant Chief along with the HR Director
Who may the Assistant Chief assign investigation to?
- Officers within the department including: line officers, division chiefs, BC’s
- HR
- Outside agency such as LE, DOH, Ethics Comission
- Outside investigator such as PI or attorney
Investigations conducted by line officers and BC’s shall be ______
Limited to those that can be conducted in a relatively informal manner, and shall not include admonishments, the taking of formal statements, or the collection of evidence.
Deviations from the investigation process may be issued by who?
AC of Chief
What steps shall be included in the preliminary investigation?
Interview w/ complainant
Forward dissatisfaction and any accompanying documentation to AC
What is an informal inquiry?
An informal inquiry is the initial questioning of persons to determine if a violation occurred, and if yes, who the offending employee is.
What is a formal investigation?
Any subsequent questioning of persons after the offending employee is identified
The questioning of an employee identified as an alleged offender, or the accused, either through formal inquiry or direct knowledge of the investigating officer, shall be_____?
An interrogation subject to the rules
All persons questioned during an inquiry must first be ______
verbally informed that an inquiry is being conducted
Formal Investigation Guidelines
Evaluate the allegations contained in complaint, ______, _________
Listen to the audio recording of the complainant if available
Consult with the person who accepted the complaint/heard the allegations
Formal Investigation Guidelines
Obtain all reports, ____, ___, ____, ____
communication/dispatch records
MDT transmissions
video recordings
other evidence/documentation
Formal Investigation Guidelines
Determine the specific allegations of _______and ______, _______
The complainant
Identify any other possible department violations, whether alleged by the complainant or not
Formal Investigation Guidelines
Conduct interviews in the following sequence
With complaining person
Other non-employee witness
Dept. Employees- witnesses not involved in the incident giving rise to the complaint
Dept. Employees- witnesses involved in the incident giving rise to the complaint
Accused employees
No employee shall be subject to an interrogation without first
receiving at least 48 hours advanced written notice containing a summary of the allegations, the name of the investigating officer, the names of all persons present at the interrogation, the complainant, and the date, time and location of the interrogation
When and where must interrogations be conducted?
Between 7 am and 4 pm while the employee is on duty at a district facility unless the importance of the event makes it an immediate action
How long shall and interrogation last?
Reasonable duration with time given the employee for rest and personal necessities
The employee being interrogated shall not be subjected to
Offensive language or offered any inducement to answer questions
Rules of representative accompanying an employee to interrogation?
May not speak on the employees behalf except to bring up extenuating circumstances that the employee may be unaware of
What will be made available to the employee at no charge?
A copy of the complete recording of the proceeding along with a prepared transcript
Appeal submission guidelines
Submit in writing to the Assistant Chief within 48 hours of the initial decision.
Who will consider the request for appeal?
AC along with HR Director
Once complaint had been investigated and punishment finalized what happens?
Complainant shall be notified of the resolution
All docs shall be forwarded to HR Director for proper filing and retention
Any and all associated written discipline will be placed in employee personnel file
If appeal granted what happens?
An administrative hearing is scheduled and the AC or their designee acts as the hearing officer
