Internal Affairs & Citizen Complaint Procedure

Section 1 - ADMINISTRATIVE 110.38 Internal Affairs & Citizen Complaint Procedure

PURPOSE:

To define methods of informal inquiry, formal investigation, and discipline to ensure the protection of all employees through conscientious inquiry, investigation, and ultimate disposition of each allegation and or complaint. This procedure shall ensure the integrity of the Department by establishing a process that provides thorough investigations of any matter that might affect the efficient professional operation of the Department and mandates compliance with all city rules, regulations, Standard Operating Guidelines, Collective Bargaining Agreements, policies, and procedures.

SCOPE:

This procedure is to be followed by the investigating officer. Authority to deviate from this procedure rests with the Fire Chief or his/her designee, who is solely responsible for the results of any deviation.

GENERAL:

The intent of this guideline is to outline the procedures involved in conducting an informal inquiry and formal internal affairs investigation. Internal affairs investigation may include, but is not limited to serious incidents, allegations of major misconduct, or misconduct that would result in verbal Warning, written reprimand, loss of privileges, placement on probation, demotion, suspension, or termination. (City Policy Section 12.03 subsection 8).

A written record of all complaints against the Fire Department or its employees shall be maintained regardless of the nature, scope or reasonableness of the complaint with the department’s investigations file. If the complaint or incident warrants an informal inquiry or formal investigation the Deputy Chief shall maintain the investigative file in a secured area, separate from the employee records section. All records must be maintained in accordance with Florida's public records laws, Chapter 119, Florida Statutes and other relevant laws. All records must be disclosed in response to a public records request unless made confidential or exempt by law. In accordance with Section 119.071(2) (k). Florida Statutes, a complaint of misconduct filed with the City against an employee and all information obtained pursuant to an investigation by the City of the complaint of misconduct is confidential and exempt from disclosure until the investigation ceases to be active. Or until the City provides written notice to the employee who is the subject of the complaint. Either personally or by mail that the City has either: a) concluded the investigation with a finding not to proceed with disciplinary action or file charges: or b) concluded the investigation with a finding to proceed with disciplinary action or file charges.

DEFINITIONS

Business Day: The City of Maitland’s open to closed operating hours, excluding city holidays.

Complaint: Any allegation coming from an internal or external source expressing any type of dissatisfaction with the department’s practice, level of service, action, or the behavior of an employee of the Maitland Fire Rescue Department.

Complaint Form: Official Complaint form of Maitland Fire Rescue Department. This form can be found with the Departmental Files K: > FD > Citizen Complaint File > Documents.

Formal Investigation: The process ordered by the Fire Chief or Deputy Chief to determine if the firefighter should be disciplined, reprimanded, suspended, or removed, during which the questioning of a firefighter is conducted for the purpose of gathering evidence of misconduct.

Garrity Warning: An advisement of rights to the employee who may be subject of an Internal, Formal Investigation in which criminal misconduct is alleged. Departmental Files K: > FD > AC ADMIN > Investigations.

Subordinate: Shall mean those employees within the direct chain-of-command and supervision within a Division of the Fire Department.

Informal Inquiry: A meeting conducted by the investigating officer with an employee of the Maitland Fire/Rescue Department about whom an allegation of misconduct has come to the attention of such supervisory or management personnel, the purpose of which meeting is to mediate a complaint or discuss the facts to determine whether a formal investigation should be commenced. The term does not include routine work-related discussions, such as safety sessions or normal operational fire debriefings.

Interrogation: Means the questioning of an employee of the fire department in connection with a formal investigation or an administrative proceeding but does not include arbitration or civil service proceedings. The term does not include questioning during an informal inquiry.

Investigating Officer: The Deputy Chief shall be assigned as the Investigating Officer for Internal Affairs & Citizen Complaints. The Fire Chief reserves the right to deviate from this assignment and may name a designee in special circumstances.

Non-disciplinary incidents or complaints: Shall mean complaints or allegations which do not involve violations of rules, General Orders, or procedures of the Fire Department.

Non-punitive incidents or violations: Shall mean incidents or complaints alleging violations of rules, Standard Operating Guidelines, or procedures by Fire Department personnel for which appropriate disciplinary action is limited to counseling and/or verbal or written reprimand.

Punitive incidents or violations: Shall mean incidents or complaints alleging violations of rules, General Orders, or procedures by Fire Department personnel for which appropriate disciplinary response consists of punitive action ranging from loss of privileges to suspension and/or dismissal.

INVESTIGATING OFFICER

The Investigating Officer for the Maitland Fire Rescue Department will be the Deputy Chief, unless another officer is assigned by the Fire Chief. The Investigating Officer shall report directly to the Fire Chief concerning the progress and findings of internal affairs investigations. The Deputy Chief shall be responsible and accountable for the internal affairs functions of the Fire Department.

It is the function of the Investigating Officer to receive and investigate complaints related to internal discipline in a manner that will assure the community of prompt, corrective action when fire department personnel conduct themselves improperly while also protecting fire department personnel from unwarranted criticism pursuant to the discharge of official duties.

The activities of the Investigating Officer will include the receipt, recording, investigation and disposition of complaints and allegations of misconduct reported by any civilian and/or employee of the Maitland Fire Rescue Department.

The Deputy Chief will be responsible for supervising, controlling and maintaining the confidentiality of internal affairs investigations and records.

INVESTIGATING OFFICER – ROLES & RESPONSIBILITIES

• All complaints and allegations will be investigated by the Investigating Officer, who will then determine if a formal investigation is warranted.

• All informal inquiries and formal investigations shall be performed under the guidelines of appropriate City policies, Collective Bargaining Agreements, Florida Statutes, Garrity Warning and the Florida Firefighters Bill of Rights.

• When conducting an internal affairs inquiry or investigation concerning possible violations of criminal law the Investigating Officer shall notify the appropriate authority having jurisdiction to conduct a criminal investigation as necessary. The informal inquiry or formal investigation shall be immediately suspended until the outcome of any law enforcement determination. The Fire Chief shall be made aware of any investigations that may require law enforcement immediately.

• All interrogations/interviews will be recorded whenever possible.

• A witness shall be advised the Department shall not permit retaliation against him or her because of his or her participation in the investigation.

COMPLAINT PROCESS

A citizen alleging misconduct on the part of any employee of the Maitland Fire/Rescue Department shall be directed to the on-duty Battalion Chief regardless of the time of day. The Battalion Chief shall be responsible for the completion of the Citizen Complaint Form. Upon completion, the form shall be forwarded to the Deputy Fire Chief without delay. It is the responsibility of the Deputy Chief to log the compliant form in the Citizen Compliant Log. Should the Battalion Chief feel the complaint is of such a serious nature that it deserves immediate attention, or they need assistance they should contact the Fire Chief who can then determine if the complaint requires the immediate attention of the Deputy Chief.

In the event a citizen directly contacts the Fire Chief or Deputy Chief registering a complaint, the Fire Chief and/or the Deputy Chief will be responsible for the completion of the Citizen Complaint Form and any other necessary documentation.

USE OF COMPLAINT FORM
1. A citizen or employee notifies an employee of the Maitland Fire/Rescue Department of a complaint and/or allegation.
2. The complainant is referred to the on-duty Battalion Chief, who attempts to resolve the complaint at initial contact.
3. The on-duty Battalion Chief has the complainant complete the Maitland Fire/Rescue Department Complaint Form.
4. The On-duty Battalion chief shall document the complaint/allegation on the Customer Feedback Log
5. Upon completion of the complaint form, the on-duty Battalion Chief will make a copy of the form (stamp it with a received notification, that is signed and dated) and return it to the complainant.
6. The on-duty Battalion Chief forwards the complaint form to the investigating officer and/or Fire Chief.
7. The investigating officer reviews the complaint and classifies the complaint as unfounded, exonerated, not sustained, or sustained.
8. If the complaint is classified as unfounded or exonerated, the investigating officer shall complete the Complaint Form and notify the complainant of the classification.
9. If the complaint is classified as not sustained or sustained, the informal inquiry process shall be initiated.

CLASSIFICATION OF ALLEGATIONS

The Deputy Chief shall, in the Internal Investigation Report, recommend one of the following four classifications:

• 1. UNFOUNDED -The allegation is false or not factual
  
• 2. EXONERATED -The incident occurred but was lawful and proper
  
• 3. NOT SUSTAINED - There was insufficient evidence to prove or disprove the allegation. This may require a formal investigation to reach a conclusion.
  
• 4 SUSTAINED - The allegation is supported by a preponderance of evidence to justify a reasonable conclusion that the incident occurred. This shall constitute a formal investigation.
  

Supervisors receiving the complaint shall have the citizen or plaintiff sign the complaint form in their presence. The substance of the complaint shall be documented in the appropriate section of the form.

Under no circumstances shall the citizen/plaintiff complaint form be used as a means to threaten, intimidate, harass, or discourage a citizen or employee from making a complaint.

Should the citizen or plaintiff refuse to sign the complaint form or is not physically present at the time of filing the complaint or is unable to sign the complaint form for any other reason, the receiving supervisor shall complete the form documenting the reason for no signature on the form and sign the form at the bottom. This form shall be forwarded to the Deputy Chief.

If the Deputy Chief is not immediately available to receive the complaint form, it shall be forwarded to the Fire Chief and/or designee to be maintained in a secure location on City property.

Written verification in the form of a receipt shall be furnished to persons initiating the complaint/allegation. It shall be the responsibility of the officer that receives the complaint to ensure a receipt is given to the complainant. The procedure does not apply to any anonymous complaints.

The complainant shall be contacted by the Deputy Chief concerning the status of the investigation within eight (8) business days from the receipt of the complaint. In the event the investigation has not been completed, the Deputy Chief shall ensure that the complainant is again contacted when the investigation has been completed.

INTERNAL AFFAIRS COMPLAINT PROCEDURE

In furtherance of the intent of the procedure any employee may submit a written statement documenting employee misconduct directly to the Deputy Chief who shall process the complaint in accordance with this procedure.

All complaints and allegations of misconduct by Fire Department personnel which appear to warrant punitive action and all citizen complaints shall be investigated, documented, and brought to the attention of the Fire Chief by the Deputy Chief. Complaints or allegations which are likely to have a serious, adverse impact upon the Fire Department shall be reported to the Fire Chief without delay by the Deputy Chief.

OPERATIONAL PROCEDURES

Supervisor’s Responsibilities Non-disciplinary incidents or complaints shall, when possible, be resolved during the initial contact with the complainant by demonstrating a sincere desire to hear and understand the problem and to convey the appropriate information to the complainant.

When non-disciplinary complaints are not resolved during the initial contact, a complaint form containing the name, nature of the complaint, and the disposition of the complaint shall be completed and forwarded through the chain-of-command to the Deputy Chief.

Non-Punitive Incidents Involving Immediate Subordinates If the alleged violation involves subordinates, the supervisor shall take appropriate corrective action (counseling). The supervisor shall notify their Battalion Chief, if deemed necessary, promptly of the incident. The Battalion Chief will evaluate the violation and determine if the Deputy Chief should be notified.

INVESTIGATION PROCESS

Informal Inquiry 1. The Investigating Officer reviewed a complaint that was not resolved at the initial contact and classified it as not sustained or sustained. The investigating officer shall initiate an informal inquiry.

2. The Investigating Officer informs the Fire Chief of the complaint or accusation and that an informal inquiry will commence.

3. The Informal Inquiry will take place at the determination of the Investigating Officer. All Firefighter Bill of Rights will be adhered to and Union Representation will be allotted. Fire administration will make all attempts to notify the union executive board prior to the commencement of any informal inquiry of Collective Bargaining Unit employees.

4. Prior to an informal inquiry, Fire Administration will provide sufficient notice to the employee informing them of the reason for the inquiry and the nature of the complaint to reasonably apprise the firefighter of the informal inquiry. Collective Bargaining Unit Employees shall be given a copy of the Firefighter Bill of Rights.

5. During the informal inquiry, the investigating officer shall not request any written statements, or audio/visual record of any portion of the conversation. All information collected from questioning within the Informal Inquiry shall NOT be directly utilized during the Formal Investigation.

6. Following the informal inquiry, the investigating officer shall make a determination and classify the informal inquiry as unfounded, exonerated, not sustained, or sustained.

7. If the investigating officer classifies the informal inquiry as unfounded or exonerated. The investigating officer shall complete the Internal Affairs Deputy Chief’s Final Report. The investigating officer shall give notification to the complainant and an official memo to the accused employee(s) of Maitland Fire/Rescue Department of the investigation.

8. If the investigating officer classifies the informal inquiry as not sustained or sustained, the investigating officer shall initiate the process of a formal investigation.

Formal Investigation 1. The investigating officer shall notify the Fire Chief of the classification of the informal inquiry and that a formal investigation has commenced.

2. The investigating officer shall notify the Union Executive Board of any formal investigation involving Collective Bargaining Unit Employees.

3. Once the Deputy Chief determines a Formal Investigation is necessary, an official Memo from the Deputy Chief shall notify the individual(s) of such Investigation with sufficient written detail as stated within the Firefighter Bill of Rights.

4. If the Investigation in NOT criminal in nature or of major misconduct, then a minimum grace period of 2 (two) business days shall pass before an interrogation/interview can be conducted.

5. Any interrogation will take place at the determination of the Investigating Officer. All Firefighter Bill of Rights will be adhered to.

6. Prior to any questioning, the employee will be informed of the reason for the interrogation/interview Before the beginning of the interrogation/interview, the employee being interrogated/interviewed will be given a copy of the Garrity Warning and a copy of the Firefighter Bill of Rights.

7. If the interrogation/interview is being recorded, the investigating officer will introduce all parties present, read the Garrity Warning statement, and acknowledge that the firefighter bill of rights was given to the employee being interrogated/interviewed. The introduction should include the time and date and acknowledgement from all parties present.

9. Upon completion of all interrogations/interviews, a review of all evidence and witness statements will be completed. The Investigating Officer shall complete an Internal Affairs Deputy Chief’s Report and notify the complainant of the classification of the investigation and an official memo to the accused employee(s) of Maitland Fire/Rescue Department of the investigation.

10. At the conclusion of the formal investigation, the Deputy Chief will provide an official memo pertaining to the outcome of the process.

DURATION OF INVESTIGATION

· Once a complaint has been received, the Deputy Chief will ensure the internal affairs investigation is completed within 30 calendar days of receipt of the initial complaint. An extension may be granted by the Fire Chief concerning these cases where extenuating circumstances exist.

Internal Affairs Deputy Chief’s Final Report · After determining the outcome of the initial complaint/accusation, the Deputy Chief shall prepare and submit an internal investigation report containing: • The specific designation number and title of each alleged violation • The details, in chronological order, addressing each point of accusation • A synopsis of each witness statement • Mitigating circumstances, if appropriate • Recommended classification of the allegations

· The Internal Investigation Report shall be forwarded to the Fire Chief for approval of the recommended classification. The Fire Chief shall either approve the classification in accordance with the above sections of this SOG or return the report to the Deputy Chief for further investigation.

· The Deputy Chief, shall have the authority and responsibility to recommend action as follows: ▪ Verbal Warning ▪ Written Reprimand ▪ Loss of Privileges ▪ Placement on Probation ▪ Demotion ▪ Suspension ▪ Termination

· Please refer to City Policies Section 12.03 TYPES OF DISCIPLINARY ACTION, subsection 8.