Internal Affairs 325.0 PDF - Osceola County Sheriff's Office Policy

Osceola County Sheriff's Office Policy and Procedures Sheriff Marcos R. Lopez Number: 325.0 Effective Date: 05/16/22 P.R.C. Review: 12/05/13 S.M.E. Review: Accreditation Stan...

Osceola County Sheriff's Office Policy and Procedures Sheriff Marcos R. Lopez Number: 325.0 Effective Date: 05/16/22 P.R.C. Review: 12/05/13 S.M.E. Review: Accreditation Standards: CFA 2.07, 7.05, 20.01, Rescinds: 04/16/20 Amends: 20.02, 20.03, 20.04 Subject: Internal Affairs Investigations This order consists of the following: 1. Purpose 2. Policy 3. Definitions 4. Procedures 1. Purpose The purpose of this policy is to establish uniform guidelines for investigating all complaints against the agency or its members, whether initiated by a citizen or an agency member, in a complete, fair, and timely manner. {CFA 20.01} 2. Policy It shall be the policy of the Osceola County Sheriff’s Office to properly investigate all complaints against the agency or its members. This directive establishes a uniform procedure for questioning witnesses and the subject employee, reporting the details of the investigation, and storing the completed report. {CFA 20.01} 3. Definitions A. Complaint – An allegation of misconduct, violation of law, or of agency policy or procedure by any agency member, whether initiated by citizens or another agency member. B. Employee – For the purpose of this policy only, employees are defined as full time, auxiliary, and part time, sworn and non-sworn members compensated or not by the Sheriff. C. Internal Affairs – The component of the agency which is responsible for coordinating and supervising all complaints and/or allegations of misconduct against the Sheriff’s Office or its employees. The Chief Deputy shall be directly responsible for the Internal Affair’s function. D. Inquiry – The review of information related to any suspected violation of agency policy or procedure by an agency employee to determine whether a reasonable belief exists that a policy or procedure has been violated and/or which agency employee committed the violation. Inquiries shall be initiated only with the approval of the investigating employee’s Page 1 of 12  325.0 supervisor or above. The subject employee should not be questioned during an inquiry in accordance with F.S.S. 112. E. Investigation – An official review of information related to any suspected violation of agency policy or procedure where sufficient information exists to reasonably believe that the employee may have committed the violation, which could lead to disciplinary action. All internal investigations shall be initiated at the direction of the subject employees’ major or above. F. Long Form Internal Investigation – An internal investigation for alleged violations of policy that would exceed a Category 4 level of discipline and/or the subject employee does not agree to a Short Form investigation. G. Preponderance of Evidence – The greater weight of evidence is present to conclude it is more probable than not, the alleged policy violation has occurred. H. Reasonable Suspicion – Facts that constitute less than probable cause but more than a mere guess. I. Representative – An individual who appears with the employee during an interrogation/interview providing support and advice to the employee. This individual may be an agency employee, member of the Florida Bar, or any other adult, not involved in the investigation. This individual is prohibited from participating directly during the interrogation; he/she shall be permitted to consult with the employee or provide advice to the employee. J. Short Form Internal Investigation – An internal investigation for alleged violations of policy that would not exceed a Category 4 level of discipline and the subject employee does not contest the findings and/or discipline proposed. K. Tracking Number – A computer generated internal complaint case number used to maintain agency control of internal investigations and inquires. 4. Procedure A. Procedures for Handling Citizen and/or Internal Complaints All complaints shall be documented on the Initial Complaint/Final Disposition Report Form (SO-06-105). {CFA 20.01} 1. Complaints need not be sworn to prior to investigation. Anonymous complaints must also be investigated. 2. Personnel receiving complaints against agency employees shall immediately refer the complaint to a first line supervisor. If the first line supervisor is not immediately available to take the complaint, the person receiving the complaint shall complete an Initial Complaint/Final Disposition Report Form (SO-06-105) and forward it to the appropriate supervisor for investigation. {CFA 20.01} 3. The Initial Complaint/Final Disposition Form (SO-06-105) shall contain the following: a. Tracking number (if applicable). Page 2 of 12  325.0 b. Complainant’s name. c. Witnesses (if applicable). d. The name of the subject employee. e. Date, time and location of the incident. f. Date and time the complaint was reported. g. Who the complaint is assigned to. h. A synopsis of the complaint. 4. All managers and supervisors shall investigate and take appropriate action concerning subordinates’ behavior. {CFA 20.01} 5. Should a supervisor determine that the complaint is against a person who is not his/her subordinate, the complaint shall immediately be referred to the appropriate supervisor if known. If unable to determine who the supervisor/employee is, the complaint shall be forwarded, by way of a memorandum with the Initial Complaint/Final Disposition Report Form (SO-06-105) attached, to Internal Affairs. {CFA 20.01} 6. If the supervisor determines the complaint is a violation, the complaint shall be referred to the affected employee’s Major. Referral shall be made by way of a memorandum detailing the complaint with the Initial Complaint/Final Disposition Report Form (SO-06-105) attached. {CFA 20.01} 7. Supervisors should make every effort possible to conduct an initial assessment of all complaints within seven (7) days of receiving the complaint. 8. When Internal Affairs receives the initial complaint and it is to be investigated at the Bureau level, the Initial Complaint/Final Disposition Report Form (SO-06-105), and if necessary, a complaint memorandum shall be forwarded to the appropriate supervisor, via the chain of command. {CFA 20.01} 9. The Sheriff shall be notified, via chain of command, when the following complaints are received against the agency or its employees alleging any of the following: a. Corruption. b. Excessive force where there is evidence to support the allegation. c. Violations of civil rights where there is evidence to support the allegation. d. Criminal misconduct where there is evidence to support the allegation. 10. All complaints documented on the Initial Complaint/Final Disposition Report Form (SO-06-105) shall be reviewed by Internal Affairs. {CFA 20.01} B. Investigative Responsibilities All agency supervisors are responsible for investigating complaints against subordinates, or referring complaints to Internal Affairs for investigation through the chain of command. 1. Internal investigations conducted must conform to Florida State Statutes and this policy. {CFA 20.03} 2. When an employee is notified that he/she has become the subject of an internal investigation he/she shall be issued an Internal Investigations Notification Form Page 3 of 12  325.0 (SO-05-104), containing the following: {CFA 20.02} a. Nature of the investigation. b. A partial list of employee rights and responsibilities, and direction to this written directive for a complete list of employee rights and responsibilities during an internal investigation. The law enforcement officers’ and correctional officers’ rights (police officers’ bill of rights) is found in F.S.S. 112.535. 3. Members participating in an internal investigation shall not, until the investigation’s conclusion, discuss or otherwise reveal investigative information with anyone other than those listed. The member may discuss the case with his/her: {CFA 20.01} a. Representative. b. Attorney. c. Clergy. d. Spouse. C. Assignment of Investigations 1. Immediate Supervisor An employee’s immediate supervisor, or any other supervisor within the employee’s chain of command, may be responsible for investigating complaints assigned by the responsible major or the Chief Deputy. The types of complaints that may be investigated by a supervisor include but are not limited to those listed in Policy 341.0, Standards of Conduct. {CFA 20.01} 2. Internal Affairs Internal Affairs shall be responsible for registering and managing all internal investigations alleging misconduct by the Sheriff’s Office or its employees and maintain, in a secure area, the confidentiality of all documents, records, and files pertaining to all internal investigations, as required by law. Internal Affairs shall be responsible for conducting the internal investigation of all complaints assigned by the Chief Deputy or designee. The types of complaints that may be investigated by Internal Affairs include but are not limited to: {CFA 20.01} a. Corruption. b. Excessive Use of Force. c. Violations of Civil Rights. d. Moral Character. e. Those listed in Policy 341.0 Standards of Conduct. 3. Internal Affairs shall give technical assistance to any supervisor who requests it to complete his/her investigation. {CFA 20.01} D. Conducting an Administrative Investigation All complaints that cannot be resolved by the supervisor via telephone or in person with the complainant shall result in an inquiry, a Short Form, or Long Form investigation. Supervisors’ conducting inquiries and internal investigations shall maintain the case files in a secure area. {CFA 20.01} 1. Inquiry a. An inquiry is conducted by the investigating supervisor to determine if a reasonable belief exists that a policy violation has been committed and to Page 4 of 12  325.0 establish whether a particular employee was involved in the incident, either as a witness or participant. (1). The investigating supervisor shall keep documentation while conducting an inquiry. (2). Completion of the Initial Complaint/Final Disposition Form (SO-06- 105) is necessary. b. Complaints may initially be worked as inquiries. If while conducting an inquiry, the investigating supervisor cannot establish a reasonable belief that a policy violation has occurred or who the subject employee is, the complaint may be concluded at the inquiry level. The Initial Complaint/Final Disposition Report Form (SO-06-105) shall be forwarded to Internal Affairs for records retention. c. An inquiry does not fall under the requirements of the Law Enforcement Officer’s Bill of Rights. The questioning does not need to be recorded. The subject employee should not be questioned during the inquiry. d. If during the inquiry stage, the investigating supervisor establishes a reasonable belief that a policy violation may have occurred, that supervisor shall forward the results to the appropriate Major requesting a Short Form or Long Form investigation be conducted. The investigating supervisor’s chain of command shall determine who will further investigate the case based on the criteria set forth in this written directive. {CFA 20.01} 2. Internal Investigation Once an internal investigation has been approved, the investigating supervisor shall use the following procedures: a. The supervisor conducting the Short Form or Long Form investigation shall ensure the Initial Complaint/Final Disposition Form (SO-06-105) is completed and a tracking number is obtained from Internal Affairs. If the investigation is forwarded to a bureau from Internal Affairs, Internal Affairs shall complete the Initial Complaint form and issue a tracking number. b. The investigating supervisor, upon issuance of a tracking number, shall send a letter to the complainant indicating receipt of their complaint and advising them their complaint will be investigated. c. The subject employee must be given a copy of the Internal Investigation Notifications Form (SO-05-104) which includes the nature of the investigation and the complainant. d. The content of an internal investigation is confidential and is not public until the investigation ceases to be active, or until the Sheriff or designee provides written notice to the member who is the subject of the investigation, either personally or by mail, that the Sheriff’s Office has either: {CFA 20.01} (1). Concluded the investigation with a finding not to proceed with disciplinary action; or (2). Concluded the investigation with a finding to proceed with disciplinary action via a Notice of Disciplinary Action Form (SO-03- 31). E. Arrest/Criminal Investigation of Agency Employee 1. When an agency employee is involved in an incident which could lead to his/her Page 5 of 12  325.0 arrest and a criminal investigation is conducted, the subject employee shall be afforded all rights given to criminal defendants. When the on duty Lieutenant is advised an agency employee is the subject of a criminal investigation, he/she shall notify the Chief Deputy or designee via the chain of command. 2. The investigator shall decide whether to make an arrest or file the case with the State Attorney’s Office. If the investigating member is an agency member he/she shall consult with his/her lieutenant, or the on-duty lieutenant, via the chain of command prior to making an arrest. {CFA 20.01} F. Law Enforcement Officer’s Bill of Rights (F.S.S. 112.531 – 112.535). The provisions of the Law Enforcement Officers’ Bill of Rights may be found in F.S.S. 112.531 – 112.535. 1. The Law Enforcement Officers’ Bill of Rights applies to all full time and part time deputies. 2. The Sheriff may elect to extend the provisions of the Law Enforcement Officers’ Bill of Rights to investigations of other agency employees for possible policy violations. 3. Newly employed probationary personnel may be afforded all rights enumerated under this policy. a. This policy does not affect their “at-will” status. b. A person on probation due to a promotion or transfer is also covered but his/her probationary status is not affected. (1). The Sheriff is free to summarily revoke a promotion with or without cause during the probationary period. (2). In the event the promotion is summarily revoked, the provisions of this directive and policy 340.0, Discipline and Termination do not apply. 4. Excluding exceptions outlined below, the agency shall, within a 180 day time limit, complete the investigation and give written notice to the law enforcement officer, the agency’s intent to proceed with disciplinary action, and a proposal of the action sought. Exceptions to the 180 day notice include: a. The subject officer may waive it in writing. b. A criminal investigation or prosecution is pending. c. An involved officer is incapacitated or unavailable. d. Multiple jurisdictions are involved, in that situation; the limitations period may be extended for a reasonable period. e. Emergencies/natural disasters wherein the Governor has declared a state of emergency within Osceola County. f. During the deputy’s compliance proceedings from the notice of violation through the written determination of the compliance review panel or upon the violation being remedied by the agency. 5. An investigation may be reopened if significant new evidence is discovered that could not reasonably have been discovered during the initial investigation or the new evidence resulted from the pre-disciplinary response of the employee. If an Page 6 of 12  325.0 investigation is reopened it must be completed within 90 days after the reopening date. G. Interviews 1. Pre-Interview Format Prior to interviewing an agency employee as the subject of an investigation, the interviewer shall confirm the individual has reviewed and signed the Internal Investigation Notification Form (SO-05-104). The interviewer shall comply with F.S.S. 112.532 as it applies to interviews. 2. Recording Interviews Interviews of persons, other than the subject employee, can be in the form of a sworn written statement or tape/digitally recorded. When recording an interview, the opening shall closely follow the format suggested on the Internal Investigation Interview Form (SO-05-106). 3. Questioning Witnesses Statements made by witnesses relevant to the investigation shall be documented in either tape/digital recorded format or with the use of a Witness Statement form. a. If a witness who is not employed by this agency refuses to be recorded or give a sworn statement, the investigating member shall note this in the report and give an explanation, if any. b. If an individual is believed to be a witness, but after questioning has no knowledge of the incident, the supervisor should include the witnesses’ name in the final report with the fact that no information was gained from the interview. 4. Questioning the Subject Employee When questioning the subject employee agency personnel, the entire interview period, including breaks, must be recorded. If the break is for other than a short recess, the interview should be concluded. If necessary, a second interview shall be conducted at a later time or date. There shall be no unrecorded questions or statements during an interview. a. If during an interview, facts are revealed that increase the severity of the alleged violation requiring an Internal Affairs investigation, the interview should be stopped. b. Investigative documentation that has been produced shall be sent to the supervisor’s Major, via chain of command. H. Short Form Internal Investigation (Short Form Report) An employee may agree to a Short Form investigation under these procedures: 1. The Short Form Internal Investigation may be utilized in the event there is no need to interview the subject employee and; a. The alleged violation of policy will only result in imposed discipline of Category one (1), two (2), three (3) or four (4). b. The employee does not wish to contest the sustained finding. c. The employee agrees with the level of discipline to be imposed and waives all appeals. d. The employee agrees with and signs the Internal Investigation Short Form Page 7 of 12  325.0 Report (SO-06-159). 2. In the event a Short Form internal investigation process sustains a violation of Sheriff’s Office policy which does not exceed a Category 4 level of discipline, the completed Internal Investigation Short Form Report and a Memorandum detailing the investigation shall be forwarded to the subject employee’s Major for review via chain of command. Once approved, the subject employee’s Major or designee shall determine in writing the type and amount of discipline to be imposed. 3. Once the amount and type of discipline is determined, the investigating member shall complete the Internal Investigation Short Form Report and attach the report to the approved Investigation Memorandum. 4. A copy of the completed Internal Investigation Short Form Report and attached Investigation Memorandum shall be presented to the subject employee for review. a. No questions shall be posed to the subject employee during this or any phase of a Short Form investigation. b. Once a reasonable period of time, five (5) business days maximum, has been given for the subject employee to review the documentation, the subject employee shall elect one of the following options: (1). Sign the Internal Investigation Short Form Report accepting the prescribed discipline without appeal. (2). Request a full internal investigation be conducted. If the subject employee requests a full investigation, the amount of discipline shall not be increased unless additional policy violations are discovered as a result of the full investigation. 5. In the event the subject employee signs for and accepts the findings indicated on the Internal Investigation Short Form Report and attached Investigation Memorandum; the completed packet shall be forwarded, via chain of command, to Internal Affairs for recording and storage. a. The issuing member shall provide a copy of the Short Form documentation to the subject employee. b. The Human Resources Section and Finance Section (if there is loss of time or pay) shall receive a copy of the Notice of Disciplinary Action Form (SO- 03-31). The original Notice of Disciplinary Action Form shall become part of the original file retained by Internal Affairs. {CFA 7.05} I. Long Form Internal Investigation The Long Form Internal Investigation shall be utilized in the event there is a need to interview the subject employee, or the employee does not agree to the provision in section 4(H) of this policy or the discipline that may be imposed exceeds Category four (4). J. Investigative Tools 1. No employee is required to submit to a deception detection exam. However, an employee may be asked if he/she desires to take a test. Any investigator conducting an administrative investigation, in which such a test is desired, shall seek assistance from Internal Affairs Section. {CFA 20.03} Page 8 of 12  325.0 2. An employee may be required to be photographed for identification purposes or for preservation of evidence if it is material to an administrative investigation. {CFA 20.03} 3. If a financial disclosure statement is required to verify or discredit statements made in an administrative investigation, the financial disclosure shall be made. {CFA 20.03} 4. Issued or assigned property and equipment may be searched consistent with applicable law to collect and preserve evidence related to an investigation. Personnel shall have no expectation of privacy in regard to issued or assigned property and equipment. 5. Employees may be required to submit to other types of medical or laboratory procedures for the purpose of collecting and preserving evidence or for comparative analysis related to a particular administrative investigation. All testing methods shall be conducted in conformance with agency directives. {CFA 20.03} K. Drug/Substance Abuse Testing {CFA 20.03} 1. When a supervisor believes an employee is under the influence of alcohol or drugs while on duty, or is using illegal drugs off duty, the supervisor shall report his/her suspicions immediately to his/her division captain via chain of command. 2. The supervisor shall proceed in accordance with policy 338.0, Drug Screening. 3. Refusal by the employee to submit to tests shall be grounds for disciplinary action up to and including termination. L. Conditions of Relieving From Duty With Pay {CFA 2.07} 1. Personnel holding the rank of Lieutenant, its equivalent, or above, are authorized to relieve a subordinate from duty with pay during the investigatory period if they have cause to believe that the employee constitutes a safety risk to him or herself, the agency or others; agency operations may be impeded or compromised; to support public confidence in the agency and its personnel; or otherwise as deemed necessary. Any member exercising this authority must report his/her action via chain of command to the Chief Deputy within twenty-four (24) hours. 2. The member relieving the subordinate from duty shall send an Inter-Office Memorandum stating the circumstances for the action to the Human Resources Unit via the chain of command. 3. During the time the employee is relieved from duty, the affected employee shall, during normal business hours, remain available by telephone and be subject to a two (2) hour recall. Normal business hours, as they pertain to this policy, are defined as 8:00 A.M. - 5:00 P.M., Monday - Friday. 4. A Major may temporarily reassign the subordinate during the investigatory period. M. Suspending Employees From Duty Without Pay {CFA 2.07} 1. If any employee is arrested for, or charged with, a felony or misdemeanor, or an Page 9 of 12  325.0 arrest is likely, he/she may be suspended without pay during the investigatory period and any administrative appeals. a. While suspended without pay, the employee may use compensatory time or vacation time. b. Personnel holding the rank of Captain, civilian equivalent, or above, are authorized to suspend a subordinate without pay under those circumstances with approval from his/her Major or designee. 2. Captains, civilian equivalents, or above, taking this action shall collect all agency- issued credentials (e.g., proximity cards, keys, agency owned personal communication devices, identification cards, badges, vehicle, etc.). a. If a manager suspends a sworn employee, he/she must collect the employee’s agency-issued firearm(s), vehicle, pager, radio, and any other issued specialized equipment. b. A contact phone number shall be obtained from the suspended employee. 3. Any captain, civilian equivalent, or above exercising this authority must immediately report his/her action via chain of command to the Sheriff or designee. N. Investigative Report 1. All internal investigations, to include Inquiries, should be concluded within 45 days. a. When articulable extenuating circumstances exist, the responsible investigator may request an extension from his/her Major or higher authority in writing, using the Internal Investigation 45 Day Extension Request form (SO-18-335). If approved, the investigation may exceed 45 days. b. The investigator shall provide a case status report, either in writing or orally, to their immediate supervisor every seven (7) days, or as requested. c. Any member conducting an administrative investigation shall report the status of ongoing investigations on a regular basis to the Chief Deputy via chain of command. 2. Once the investigation is concluded, it shall be written in an internal investigation format by the person who conducted the investigation. a. The Short Form internal Investigation report shall be constructed in the following format: (1). An Inter-Office Memorandum detailing the investigation. (2). An Internal Investigation Short Form Report (SO-06-159). b. The Long Form internal Investigation report shall be constructed in the following format: (1). BACKGROUND A synopsis of the incident. (2). INVESTIGATIVE DETAILS Details of the investigation, to include a synopsis of interviews with witnesses, complainants, and the subject employee. (3). FINDINGS A synopsis of specific facts revealed by the internal investigation which are pertinent to the complaint or allegation(s). (4). CONCLUSION The policy violation(s) investigated, with a conclusion for each Page 10 of 12  325.0 specific violation. 3. The Conclusion shall be based on the Preponderance of Evidence established during the investigation. Each policy violation must have one of the following conclusions: {CFA 20.04} a. Unfounded: A finding or conclusion that the incident alleged in the complaint did not occur or did not involve agency personnel. b. Exonerated: A finding or conclusion that an incident did occur, but actions taken by agency personnel were consistent with applicable law and/or the Sheriff’s policies and procedures. c. Not Sustained: A finding or conclusion that fails to discover sufficient evidence to prove or disprove the allegations made in the complaint. d. Sustained: A finding or conclusion that an allegation is true. 4. Complaints that are determined to be “Sustained” shall be handled in accordance with established disciplinary procedures. {CFA 20.01} O. Notification Supervisors shall notify: 1. The complainant and the subject employee of the findings in writing at the conclusion of the case. This applies to all complaints resulting in an inquiry, Short Form or Long Form investigation. {CFA 20.01, 20.04} a. Once an investigation is concluded, a memo shall be provided to the subject employee by the responsible investigator or designee, detailing that an investigation concerning specific allegations has been concluded and listing the conclusion(s) of the investigation. This notification shall be notarized in accordance with the Police Officer’s Bill of Rights and shall contain the requisite notification paragraph. b. When an investigation is concluded, the investigator conducting the investigation shall notify complainants: {CFA 20.04} (1). Outside of the Sheriff’s Office by means of a certified letter, via the chain of command, of the conclusion of fact. (2). Who are members of the Sheriff’s Office via agency email or Interoffice Memorandum. 2. The Florida Department of Law Enforcement, Criminal Justice Professionalism Program of any sustained case involving moral character. {CFA 20.01H} a. This notification shall be via CJSTC Form 78. b. Form 78, and the related investigative file shall be mailed to the Florida Department of Law Enforcement, Criminal Justice Professionalism Program, Post Office Box 1489, Tallahassee, FL 32302-1489, Attention: Professional Compliance. c. Additional information regarding moral character violations can be found in Policy 325.0a, Florida’s Criminal Justice Professional Compliance Process. Page 11 of 12  325.0 P. Report Disposition 1. Once a Short Form or Long Form investigation is concluded, the complete case file, including all attachments and audio/video recordings, shall be sent to Internal Affairs for retention. Internal Affairs shall be responsible for updating the computer tracking system to reflect the disposition of the complaint and to maintain the investigative file in a secure area. {CFA 7.05, 20.01} 2. At the completion of an investigation, all documents contained in the file, unless exempt from disclosure by law, become public record. a. Requests for review and/or copies of completed internal investigations are granted in accordance with applicable law. {CFA 20.01} b. As a courtesy, the subject of the investigation may be notified of the request, although this may not delay the granting of the request. {CFA 20.01} 3. Upon request, the subject employee and the victim/complainant may obtain one (1) complete copy of the investigative file at no cost. a. Upon request, a witness may obtain a copy of his/her statement at no cost. b. Requests from other agency employee(s) and citizens are subject to established fees. {CFA 20.01} Q. Annual Report and Public Information The Internal Affairs Commander or designee shall prepare an annual statistical report of cases. Case information shall be disseminated to the public and agency employees upon request and in compliance with applicable public records law. Page 12 of 12