INTERNAL
AFFAIRS INVESTIGATION GUIDELINES
Table of Contents
Article I. Internal
Affairs Investigation Guidelines
Section
1.02 Types of Employee Misconduct
Defined
Section
1.03 Authority To Investigate
Section
1.04 Procedures for Submitting a
Complaint
Section
1.05 Internal Affairs Investigation
Guidelines
Section
1.06 Responsibilities of the Legal
Officer
Section
1.08 Employee obligations
(d) Right to counsel or
representation
(f) Copies of employees statements
Section
1.09 Prosecutorial Immunity
Section
1.11 District Records, Files, and
Reports
For the protection of the
District and its employees, the Legal Officer and/or the Fire Chief or the Fire
Chief’s designees, gather facts about allegations of employee misconduct
received from the public or from other employees.
Employees must report incidents
of employee misconduct that they observe or that are brought to their attention
by others. Employees are to cooperate fully with investigators during internal
affairs investigations. Failure to
cooperate shall be grounds for disciplinary action including termination.
Supervisors are responsible for
handling infractions of policies, procedures, rules, or regulations in their
area of responsibility. Included in this responsibility is ensuring that
complaints of criminal misconduct are submitted to the Board of Directors.
Complaints of administrative
misconduct are handled by the immediate supervisor.
The two types of employee
misconduct that may be investigated are criminal and administrative. The
supervisor should contact the Fire Chief who may contact the Legal Officer for
assistance in determining whether misconduct is criminal, administrative, or
both.
Criminal misconduct may result
in disciplinary action by the District in addition to criminal charges against
the employee. Administrative misconduct may result in the District taking
disciplinary action against the employee.
The Legal Officer is the
District liaison with federal, state, county, or local law enforcement
agencies. If the investigation shows
evidence of criminal misconduct, the District gives that evidence to the
appropriate law enforcement officials. The District may take disciplinary
action in addition to the law enforcement action. Failure to report criminal misconduct may result in criminal charges
against the employee having knowledge of the criminal misconduct.
The following are examples of
criminal misconduct:
·
fraud;
·
theft of services;
·
theft, misuse, or abuse of
District property, supplies, and equipment;
·
use of District property,
supplies, and automated or non-automated equipment for other than District
business;
·
possession or use of illegal
drugs or narcotics while on duty;
·
bribery;
·
acceptance of a bribe;
·
physical or sexual abuse or
assault (or attempted abuse or assault) of a client, an employee, or any other
person; and
·
any criminal activity
committed except misdemeanor traffic violations.
The Fire Chief with the
assistance of his subordinates and the Legal Officer conducts investigations of
administrative misconduct on his own initiative or if the Board of Directors
requests an investigation.
The following are examples of
administrative misconduct:
·
neglect of duty;
·
insubordination or failure to
follow valid, lawful orders;
·
abuse of sick leave;
·
abuse of District equipment;
·
significant infractions of
work hours;
·
violation of personnel
policies involving illegal drugs and alcoholic beverages; and
·
verbal mistreatment of
co-workers or non-employees.
The District has the authority
to investigate allegations of misconduct by employees. Only the Board of
Directors may authorize the Legal Officer to investigate alleged employee
misconduct.
The complainant submits the
complaint in writing. The complaint is signed and sent through supervisory
channels to the Fire Chief or the Board of Directors.
If the complainant believes the
complaint of criminal misconduct cannot be handled properly through supervisory
channels, the complainant may send the complaint directly to the Board of
Directors. The Board of Directors evaluates the complaint to determine if it
should be forwarded to the Legal Officer or investigated by the Fire Chief.
For complaints received from
outside the District, the employee receiving the complaint takes the
information concerning the allegations and sends the information in writing
through supervisory channels to the Fire Chief who in turn advises the Board of
Directors. The employee does not
comment about the merits of the complaint but assures the complainant that the information
is given to the appropriate authorities.
Anonymous complaints are
discouraged but should be submitted to the Fire Chief and the Board for
evaluation as to whether or not an investigation is warranted.
Complaints of political or
personal nature are only considered if criminal misconduct is alleged.
Procedures concerning sexual
harassment complaints are outlined in the Personnel Policies Handbook.
The Legal Officer directs
investigations of employee misconduct and is the final review authority of
complaints about the direction of the investigations, unless the Board of
Directors directs otherwise. The Legal Officer also ensures that the
·
facts about the allegations
of misconduct are gathered and reported.
·
constitutional rights of the
employee are protected by the investigator who conducts the investigation.
·
employee is not intimidated
or harassed during the investigation.
·
employee is told of the
allegations when it does not jeopardize the investigation.
·
employee is not granted
special treatment or privileges during an investigation, especially on the
basis of status or rank in the District.
·
investigator is courteous and
professional in conducting the investigation.
·
Board of Directors is kept
informed of all serious or critical investigations.
In addition to constitutional
rights, an investigated employee has the right to
·
know the purpose of the
investigation.
·
have his representative present
during interviews about alleged non-criminal misconduct.
·
have an attorney present when
being interviewed about alleged criminal misconduct.
·
request or refuse a polygraph
or any other test without prejudicing the investigation.
·
file appeal for administrative
misconduct to the Board of Directors, if an adverse action is recommended or
taken.
·
request involvement of the
Legal Officer whenever the employee considers an accusation false and
detrimental to his position with the District.
·
know the results of the
investigation.
District employees are
required to fully cooperate in any and all investigations in which either the
employee or someone else is the subject of said investigation. The employee must furnish all information or
evidence in the employee’s possession and to testify orally or in writing, as
may be requested, fully, completely, freely and honestly concerning the
employee’s knowledge of any matter under investigation. Any refusal on the
employee’s part to testify, give a statement, answer questions, be evasive or
uncooperative, or any concealment of a material fact, or any inaccurate
testimony or statements knowingly and willingly given, may be grounds for
disciplinary action against the employee personally, including termination from
employment with the District. The
employee must respond personally, in writing or orally as may be elected by the
investigator, and not through any representative, legal or otherwise.
The employee is not
required, under the Fifth Amendment to the U.S. Constitution to give testimony
against the employee’s self interest in any matter in which there is an
indication the employee was involved personally in a violation of the criminal
law and there is possibility the employee’s testimony would be
self-incriminating. However, refusal to
testify or to give a statement may serve as grounds for termination of
employment. Thus, as a District
employee making statements to a District investigator under these guidelines, any
statements made by the employee to the District’s representatives during an
investigation cannot be used to incriminate the employee in a later criminal
proceeding if the employee chooses to cooperate in the investigation and make
statements that may be incriminating.
Thus, invocation of the employee’s right not to testify may be deemed a
refusal to cooperate or in the alternative, the employee’s invocation of the
employee’s right not to testify may allow the District to take disciplinary
action against the employee without the benefit of the employee’s statement.
The employee’s right
to refuse to answer a question on the grounds that the employee’s response
might tend to incriminate the employee is a personal right. The employee does
not have the right to refuse to answer a question on the grounds that the
employee’s response might incriminate a person other than the employee.
If at any time during
a personal interview and questioning the employee feels that the employee’s
Constitutional or other legal rights as an employee are being violated, the
employee may request that questioning be suspended to afford the employee an
opportunity to seek advice. However, in
the event that the employee has had at least seventy-two hours prior notice of
the interview, the employee’s counsel must be readily available and not cause
an unreasonable delay in the interview.
If the employee is a bargaining unit employee, the employee may consult
with a union representative. If the
employee is not a member of a bargaining unit, the employee may consult with
any other representative of the employee’s choice. However, in no instance may the employee be represented by anyone
who is a subject of or a witness to the investigation. Representatives may be present during the
employee’s interview for purposes of the employee’s consultation; however, the
employee will be required to respond to the interrogation personally and not
through the employee’s representative.
No procedural or evidentiary objections may be raised to any
investigatory matter other than as may be specifically provided by state
statute or constitutional law. Any
legal representative attempting to engage in adversarial objections during the
investigatory interview shall be excluded from the interview room; however, if
the employee deems a question to violate the employee’s constitutional or legal
rights, the employee will be allowed to leave the interview room to seek advice
of the employee’s counsel before answering the question. Furthermore, the employee may elect to
terminate the interview at any time and shall be free to leave the interview
room at will; however, if the employee does so prior to completion of the investigatory
interview or questions, the employee may be subject to disciplinary action for
failure to cooperate in the investigation.
The individual under
inquiry or investigation shall be entitled to examine or obtain copies of any
and all summary reports of the results of the investigation.
The employee will be
given the opportunity to read and sign the employee’s statement, testimony or
affidavit if and when it is transcribed and to make additions or corrections
thereto before signing. The employee will also be given a copy of the
employee’s statement or affidavit.
In the case of criminal
misconduct, the Board of Directors may not grant immunity from
prosecution. Only the prosecutor or the
court may grant immunity from prosecution after evidence of a criminal act is
established.
At the conclusion of an internal
investigation of alleged misconduct, the investigator or Legal Officer makes a
summary report of the investigation. The Legal Officer gives a complete report
if it is requested.
Upon completion of an
investigation of sexual harassment, the Board of Directors shall be provided
with a copy of the completed investigative report.
The Board of Directors receives
the summary or complete report and decides the administrative action to be
taken.
The prosecuting attorney is the
only authority for releasing information concerning a criminal investigation.
The Legal Officer has full
access to any District records or files related to a particular investigation
of misconduct. Supervisors and administrators should promptly honor requests
for access to files and records when investigators give appropriate
identification.
Internal investigations are
confidential. Employees who are
subjects of an investigation may request information about administrative
investigations; however, they only have such rights as are outlined in this
Article.
These requests are subject to
the Sunshine Law.
The
prosecuting attorney is the only authority for releasing information concerning
a criminal investigation.
Approved
as to legal form by Legal Officer: 6/27/2007 11:46 PM
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