Complaint Investigations.pdf

BOCA RATON POLICE SERVICES DEPARTMENT Departmental Standards Directive 52.100 COMPLAINT INVESTIGATIONS Revised: March 9, 2022 I. PURPOSE: The purpose of this departmental standards directive is to ensure the prompt and thorough investigation of all complaints of alleged or suspected misconduct ag...

BOCA RATON POLICE SERVICES DEPARTMENT Departmental Standards Directive 52.100 COMPLAINT INVESTIGATIONS Revised: March 9, 2022 I. PURPOSE: The purpose of this departmental standards directive is to ensure the prompt and thorough investigation of all complaints of alleged or suspected misconduct against employees of the Department and to promote a fair and impartial disciplinary process. II. POLICY: It is the policy of the Department that the Professional Standards Bureau (PSB) will be responsible for administering the internal investigation process, to include the investigation of all serious allegations of misconduct and the tracking of less serious complaints sent for divisional investigation. All complaints of misconduct will be investigated fairly and impartially at the appropriate level. Investigators will ensure that false or malicious complaints against Department employees are documented and reviewed for consideration of criminal process. III. DEFINITIONS: Class I Complaints: Allegations of a serious nature or potentially complex investigations, which include, but are not limited to, the following matters:        Criminal misconduct Excessive force Serious violations of policy, rules, and regulations Repeat violations of policy, rules, and regulations Conduct that challenges the integrity, good order, or discipline of the Department Investigations involving multiple witnesses and/or significant amounts of evidence Any other matter at the discretion of the chief of police Class II Complaints: Allegations of misconduct or policy violations that may be investigated by a supervisor, which include, but are not limited to, the following matters:     Rudeness, profanity, minor traffic violations Inadequate police service Negligent damage or loss of property Any other matter at the discretion of the chief of police Effective: May 1, 1982 Revised: March 9, 2022 Complaint Investigations Directive No. 52.100 Page 1 of 11 Exonerated: A completed investigation may be labeled exonerated when the facts suggest that the alleged incident did occur, but that the employee’s actions were lawful, proper, and consistent with Department policy. Law Enforcement Officers' Bill of Rights (LEOBR): Refers to Florida State Statute Chapter 112, Law Enforcement officers' and correctional officers' rights. Specifically, FSS 112.531, 112.532, 112.533, 112.534, and 112.535. Not Sustained: A completed investigation may be labeled “not sustained” when the allegation has been investigated and there is insufficient evidence to confirm or refute the allegation. Policy Failure: If an investigation reveals that an LEO committed an act of misconduct or otherwise performed in an unsatisfactory manner but was acting in accordance with an existing departmental policy; or the LEO's actions or omissions were not covered by a policy or procedure, the case disposition could be labeled a policy failure. Probable Cause: Where the facts and circumstances within the LEOs knowledge and of which they had reasonably trustworthy information are sufficient in themselves to warrant a person of reasonable caution in the belief that an offense has been or is being committed. Reasonable Suspicion: A suspicion that has some factual foundation in the circumstances observed by the individual when those circumstances are interpreted in light of the individual’s knowledge. Sustained: A completed investigation may be labeled “sustained” if 1) the facts support the allegation as true, and/or 2) the findings indicate that the employee committed one or more of the alleged acts, and/or 3) the findings indicate that the employee committed a violation other than the original allegation(s). Unfounded: A completed investigation may be labeled unfounded when the complainant admits to making a false allegation or the facts of the investigation support this, or the accused employee was not involved in the incident, or there is no basis in fact that the incident occurred. An investigation may also be labeled unfounded if, after investigation, the allegation is demonstrably false or there is no credible evidence to support it. IV. PROCEDURE: A. PROFESSIONAL STANDARDS BUREAU AUTHORITY AND RESPONSIBILITIES: 1. Professional Standards Bureau (PSB) employees assigned to internal affairs have the authority to conduct internal investigations as directed by the chief of police. 2. The PSB, in conjunction with the Public Information Office (PIO), will be responsible for making material available to the public regarding how to file a complaint against, or a commendation for a department employee. Effective: May 1, 1982 Revised: March 9, 2022 Complaint Investigations Directive No. 52.100 Page 2 of 11 3. The PSB, working in cooperation with the PIO, will respond promptly to all requests for public records regarding closed internal investigations in accordance with Florida State Statutes Chapter 119. 20.01 a. Employees shall direct citizens who are requesting internal affairs records to contact the PSB commander for inspecting/viewing of a completed internal affairs record. b. If the request is for the viewing/inspecting of voluminous internal affairs records, the citizen will be asked to schedule more than one appointment. c. 119. This procedure is voluntary and will expedite inquiries under FSS Chapter d. The PSB commander reports directly to the chief of police or his/her designee regarding internal affairs investigations. B. RECEIVING COMPLAINTS: 1. EXTERNALLY RECEIVED COMPLAINTS: a. Externally received complaints are those that originate outside of the Department and are reported by persons not employed by the Department. b. When possible, citizens wishing to make a complaint against an employee should be referred to a supervisor for initial information gathering. c. Complaints can be received in person, in writing using the Complaint Affidavit Form, by regular mail, telephone, fax, e‐mails, or anonymously. d. Any complaint received by a non‐supervisory employee must be forwarded to a supervisor as soon as practical. e. Complainants may leave an anonymous voice mail message after hours by calling (561) 338‐1203. 2. INTERNALLY RECEIVED COMPLAINTS: a. Internally received complaints are those that originate within the Department and are reported by any Department employee to a supervisor. C. NOTIFICATIONS: 1. In the event an employee is charged with or suspected of any significant violation of State law, City ordinances or Department policy the employee’s supervisor or on‐duty supervisor, as appropriate, will immediately notify the chief of police via the chain of command. Effective: May 1, 1982 Revised: March 9, 2022 Complaint Investigations Directive No. 52.100 Page 3 of 11 2. In the event an internal affairs investigation is generated, the PSB commander or his/her designee shall forward the Citizen Complaint Form to the chief of police via the chain of command within 24 hours. 3. All complaints reported to the Department, whether Class I or Class II, will be documented and reported to the chief of police in the form of an annual report. D. COMPLAINT CATEGORIES: 1. CLASS II COMPLAINTS: a. Supervisors being made aware of any alleged employee misconduct shall complete the Citizen Complaint Form available on the Department’s electronic records management system. b. Both internally and externally generated complaints that involve Class II complaints can, in most cases, be resolved by the supervisor of the affected employee at the time the complaint is made or during the investigative process. 20.01 c. Differences of opinion regarding whether a traffic citation should have been issued are to be resolved by the courts. Citizens with complaints of this nature should be advised that once a summons has been issued, it can only be resolved by the courts. Traffic citation complainants should be advised to seek the advice of an attorney and/or request a trial date in accordance with current court procedure. d. In the event a supervisor determines that the complaint needs to be upgraded to a Class I complaint, the supervisor shall cease the interview/investigation and shall forward his/her findings and the Citizen Complaint Form to PSB for further follow up. 2. CLASS I COMPLAINTS: 20.01 a. Supervisors being made aware of any alleged employee misconduct that rises to the level of a Class I complaint shall complete the Citizen Complaint Form available on the Department’s electronic records management system. b. Both internally and externally generated complaints of a more serious nature are assigned to the Professional Standards Bureau for investigation by internal affairs employees at the discretion the chief of police. E. DOCUMENTING CLASS II COMPLAINTS: 1. All complaints of alleged employee misconduct shall be documented by supervisors on the Citizen Complaint Form available in the Department’s electronic records management system. Effective: May 1, 1982 Revised: March 9, 2022 Complaint Investigations Directive No. 52.100 Page 4 of 11 2. If the supervisor documenting the complaint is not the subject employee’s supervisor, the documenting supervisor shall complete and print the Citizen Complaint Form, attach it to a High Priority Department Routing Form, and submit the packet to the subject employee’s bureau commander for assignment. 3. Supervisors receiving complaints shall acknowledge receipt of the complaint to the complainant via phone, e‐mail, mail, or verbally at the time the complaint is taken. 4. All contact with the complainant shall be documented on the Citizen Complaint Form. 5. In the event a complaint rises to the level of a Class I complaint, the Citizen Complaint Form shall be submitted to the PSB. 6. Supervisors shall notify the complainant of the outcome of the complaint via phone, e‐mail, or mail after the complaint has been investigated. 7. After the complaint is investigated by a supervisor, the completed Citizen Complaint Form will be submitted via the chain of command to the bureau commander for review. The conduct report and routing form will then be sent to the PSB for review and filing. 8. All externally generated Class II complaints will be concluded within 180 days unless an extension is granted by the chief of police. 20.01 F. DOCUMENTING CLASS I COMPLAINTS: 1. All Class I complaints of alleged employee misconduct shall be documented by supervisors on the Citizen Complaint Form available on the Department’s electronic records management system. 2. The supervisor documenting the complaint shall print the Citizen Complaint Form, attach it to a High Priority Department Routing Form, and submit the packet to the subject employee’s bureau commander. The bureau commander shall contact the PSB commander and forward the packet to him/her. 3. Upon receipt of the Citizen Complaint Form, the PSB commander shall forward it to the chief of police or his/her designee for assignment. 4. Once the Citizen Complaint Form is signed and designated for assignment, the PSB supervisor will mail a letter to the complainant within seven days acknowledging receipt of the complaint and that an investigation is being conducted. 5. The PSB commander or his/her designee shall enter the complaint information into the Internal Affairs module of the Department’s electronic records management system. 20.01 6. Contact with the complainant shall be made on an as‐needed basis during the investigation and documented in the Internal Affairs Report. Effective: May 1, 1982 Revised: March 9, 2022 Complaint Investigations Directive No. 52.100 Page 5 of 11 7. All externally generated Class I complaint investigations will be concluded within 180 days unless an extension is granted by the chief of police. G. CLASS I INVESTIGATION CASE NUMBERS: 1. Complaints investigated by the PSB are given a Class I sequential number. 2. The number will start with the year followed by the subsequent four‐digit complaint number, e.g., 2000‐0001 for the first complaint of the year 2000. H. CONDUCTING CLASS I INVESTIGATIONS: 1. COMPLAINTS INVOLVING EXCESSIVE FORCE: a. All complaints of excessive force are categorized as Class I complaints. b. The on‐duty supervisor shall handle complaints involving excessive force as follows: i. Notify the appropriate division commander as soon as possible ii. Have medical treatment available to the subject iii. Photograph the injuries iv. Note any refusal to cooperate in the report to the PSB v. Ensure that all appropriate response to resistance documentation is entered into the Department’s electronic records management system 2. USE OF MEDICAL AND LABORATORY EXAMINATIONS: 20.03 a. On order of the chief of police, an employee, who is the subject of an investigation, shall submit to medical and/or laboratory examinations, including blood and urinalysis, any ballistics, chemical and Breathalyzer examinations or tests, if relevant to the investigation. b. The Department shall pay the cost of such tests, e.g., an examination to determine substance abuse by an employee. 3. USE OF PHOTOGRAPHS AND LINEUPS: 20.03 a. On order of the chief of police, an employee who is the subject of an investigation shall submit to the use of his/her photograph, voice sample, and/or participate in a physical lineup for identification purposes. b. The PSB maintains employee photographs that may be used for identification purposes during an investigation. Effective: May 1, 1982 Revised: March 9, 2022 Complaint Investigations Directive No. 52.100 Page 6 of 11 4. FINANCIAL DISCLOSURE STATEMENTS: 20.03 a. On order of the chief of police, any employee, who is the subject of an investigation, shall submit financial disclosure statements as part of an investigation, if the documents are relevant to the investigation. 5. USE OF POLYGRAPH EXAMINATIONS: 20.03 a. Polygraph examinations for Department employees will be conducted in conformity with state statutes, collective bargaining agreements, and court decisions taking precedent at the time. b. Employees under investigation will not be compelled to submit to a polygraph or any other instrument designed to detect deception. c. An employee of the Department, who is the subject of a Class I complaint investigation, may at any time prior to closing the file, request in writing directly to the Office of the Chief of Police, that instruments for the detection of deception be used upon his/her person and the results of such examinations be taken under advisement in the decision‐making process. 6. DRUG AND ALCOHOL TESTING FOR CAUSE: a. If a Department supervisor has reasonable suspicion, that an employee is under the influence of drugs or alcohol while on duty, the supervisor should proceed as follows: i. Notify the appropriate division commander or designee. ii. Require the accused to submit to physical sobriety tasks. iii. Upon order of the division commander or other competent authority, order the suspected employee to submit to a breath, urine, or blood test and accompany the employee to the testing facility. If the employee is suspected to be under the influence of narcotics, a blood test is preferred. iv. Document the times when the allegation was received or behavior was observed, and when the test was conducted. b. The employee shall be placed on paid leave in accordance with Departmental Standards Directive 26.105 Disciplinary Procedures by the chief of police or his/her designee pending the results of the investigation. 7. INTERVIEWING OF DEPARTMENT EMPLOYEES: a. When an LEO is notified that he/she has become the subject of a Class I complaint investigation, he/ she shall be informed of the rank, name, and command of the LEO in charge of the investigation. The LEO under investigation Effective: May 1, 1982 Revised: March 9, 2022 Complaint Investigations Directive No. 52.100 Page 7 of 11 must be informed of the nature of the investigation before any investigative interview begins and he/she must be informed of the names of all complainants. b. All identifiable witnesses shall be interviewed, whenever possible, prior to the beginning of the investigative interview of the accused LEO. The complaint, all witness statements, including all other existing subject LEO statements, and all other existing evidence, including, but not limited to, incident reports, GPS locator information, and audio or video recordings relating to the incident under investigation, must be provided to each LEO who is the subject of the complaint before the beginning of any investigative interview of that LEO. An LEO, after being informed of the right to review witness statements, may voluntarily waive the provisions of this paragraph, and provide a voluntary statement at any time. c. The Department shall issue the subject LEO to be interviewed his/her rights and responsibilities pursuant to Chapter 112.532, Florida State Statutes Law Enforcement Officer Bill of Rights (LEOBR), the Administrative Rights Form which covers the ruling of the 1967 U.S. Supreme Court decision in Garrity v. New Jersey and a copy of the Florida State Statutes 112.534 Failure to Comply. 20.02 d. Employees shall follow all City of Boca Raton policies and procedures regarding the interviewing of civilian employees. 20.02 e. When an LEO has been notified that he/she has been identified as the subject in an investigation that may result in discipline and an investigative interview is necessary, the LEO will be given sufficient time to locate a representative to attend the investigative interview with the employee, if desired. f. Whenever possible, the employee’s supervisor will be notified that the employee is being interviewed regarding a case. g. All statements made by an LEO during an investigation, regardless of format, will be under oath and will be recorded. The form of the oath shall be provided for in Section pursuant to FSS 92.525. The standard recording preamble will be utilized. i. There shall be no unrecorded questions or statements. ii. At the request of the subject LEO, a copy of the recorded interview session must be made available to him/her within 72 hours, excluding holidays and weekends. This excludes witness LEOs and complainants. h. LEOs must be notified whether they are a subject or a witness to the investigation and whether the investigation is criminal. 20.02 i. Employees are required to always tell the truth and cooperate with all investigations. Effective: May 1, 1982 Revised: March 9, 2022 Complaint Investigations Directive No. 52.100 Page 8 of 11 j. In instances where an LEO, having received his/her Garrity rights, refuses to provide a required statement regarding an investigation or refuses to answer questions, he/she will be subject to disciplinary action for violating a direct order, up to and including termination. k. All attempts will be made to conduct interviews during the employee’s duty hours, if possible. 8. CASE PREPARATION: a. If applicable, PSB employees will maintain a close liaison with the Palm Beach County State Attorney’s Office. b. In the event an investigation of a Department employee involves possible criminal conduct, the State Attorney’s Office will be consulted, and all of the same investigative procedures and constitutional protections used in any other criminal investigation will apply. c. A case involving Department employees may be presented to the State Attorney’s Office in the same manner as any other criminal case. 9. REPORTING: a. Regardless of format, final reports, whether investigative report or summary, will have the following noted in accordance with FSS Sections 92.525 and 112.533(1)(a): I, the undersigned, do hereby swear, under penalty of perjury, that, to the best of my personal knowledge, information, and belief, I have not knowingly or willfully deprived, or allowed another to deprive, the subject of the investigation of any of the rights contained in 112.532 and 112.533, Florida Statutes. I further state that the contents of this report are true to the best of my knowledge, information, and belief. 10. FINAL DISPOSITIONS: a. PSB investigators will ensure that applicable completed investigations are submitted to the Criminal Justice Standards and Training Commission in accordance with Florida Administrative Code (FAC) Chapter 11B‐27. b. When an investigation is completed for a Class I case, a Conclusion of Fact must be determined. 20.04 c. Depending on the conclusions reached, the dispositions should be one or more of the following: 20.04 i. Effective: May 1, 1982 Revised: March 9, 2022 Unfounded Complaint Investigations Directive No. 52.100 Page 9 of 11 ii. Exonerated iii. Not Sustained iv. Sustained v. Policy Failure d. At the conclusion of the Class I investigation, PSB employees will ensure that the accused employee is served with a notice indicating the case disposition. 20.03 e. Refer to Departmental Standards Directive 26.105 Disciplinary Procedures for more information regarding disciplinary procedures. f. The investigating supervisor of any complaint shall note, after the findings, if any policy failure or training need has been discovered. g. When a Class I investigation is completed, the Professional Standards Bureau supervisor will prepare the file for review by the chief of police along with the required employee notification memorandum or form. h. After the chief of police has signed the Investigative Narrative Form, the PSB supervisor will file the case. i. If applicable, the case will not be considered closed until the affected employee receives discipline. j. The PSB commander will deliver the case disposition notice to the accused employee. k. The PSB commander will notify the complainant of the outcome of the case via letter. 20.04 l. The case and disposition will be logged in a bound ledger book. m. The PSB commander or his/her designee shall complete an FDLE Form 78 for all applicable complaints. I. THE CONFIDENTIALITY OF INVESTIGATIONS: 1.07, 20.01 1. All investigations and any information regarding these investigations shall be kept confidential, until the investigation is considered closed, and a finding is issued and approved by the chief of police. J. SECURITY OF THE FILES: 20.01 1. To ensure completeness of closed files, all reports and documentation pertaining to a file must be included when it is returned to the PSB. Effective: May 1, 1982 Revised: March 9, 2022 Complaint Investigations Directive No. 52.100 Page 10 of 11 2. All notes, reports, statements, or other material involved in the investigation of all complaints shall be maintained in a locked closet within the PSB commander’s office, with access limited to the PSB commander, the PSB supervisor, and the chief of police or his/her designee. 3. The PSB commander is responsible for maintaining the security of the investigation files. K. RECORDS RETENTION: 20.01 1. All records shall be kept in accordance with GS2‐SL records retention schedules, at a minimum. L. RESPONSIBILITIES OF THE PROFESSIONAL STANDARDS BUREAU EMPLOYEES: 1. The PSB commander will review all complaint investigations. 2. The PSB commander will update the chief of police or his/her designee regarding the status of investigations, at a minimum every fourteen (14) days or as directed. 3. The PSB commander will enter all Class I investigations into the Department’s electronic records management system when the investigations are completed. 4. The PSB commander or his/her designee will generate a report at the end of each year summarizing, categorizing, and analyzing complaints and dispositions. 5. Copies of the annual report will be made available to employees, the Accreditation Office, and the Public Information Office. Approved: Michele Miuccio Chief of Police Effective: May 1, 1982 Revised: March 9, 2022 Date: Complaint Investigations Directive No. 52.100 Page 11 of 11