HomeMy WebLinkAboutSOG 702.02 NEW 12-2012_C I I&A-D Processes702.02 — Complaint, Inquiry, Investigation & Adjudication/Discipline Processes
Effective. 12/5/2012
Revised:
Replaces:
I. Guiding PhilosophX
Complaints about services or the personnel who provide them offer us opportunities for
improvement. For this reason, all complaints should be taken seriously and the information
gathered used to help the department progress. We apply a professional standards approach to
resolving complaints and managing personnel so that the respect given firefighters endures, and
so that the department's obligation to deliver capabilities -based, professional services, along with
the public's confidence and trust, are maintained.
II. Purpose
The purpose of this policy is to provide a comprehensive and uniform complaint
management system and guidelines for inquiry, investigation, and adjudication/discipline
processes.
III. Goals
The goals of this policy are to:
A. Outline the complaint management process and responsibilities.
B. Describe the inquiry process and responsibilities.
C. Discuss the investigation process and responsibilities.
D. Outline the adjudication/discipline process and responsibilities.
E. Communicate employee notifications and rights.
F. Communicate confidentiality intent and parameters.
G. Describe information analysis, file maintenance and retention responsibilities.
IV. Definitions
A. Administrative Inquiry — Preliminary inquiry conducted by the Professional
Standards Unit which may or may not identify if probable cause exists to
investigate a potential statute or policy violation.
B. Administrative Investigation — Process of gathering facts and evidence to
determine if a statute or policy violation has or has not been committed.
C. Citizen Complaint — Complaint initiated by a person outside of the department.
D. Combination Investigations — Investigations that may include criminal and/or
administrative violations and/or a fatality/injury component.
E. Criminal Investigation — Process of gathering facts and evidence to determine if
a criminal statute violation has or has not been committed.
F. Disciplinary Review Board (DRB) — A panel of Chief Officers whose primary
duties are to review the facts and evidence of a case and recommend a disposition,
and/or discipline to the Fire Chief.
G. Garrity Rights — The basic thrust of the Garrity Rights or Garrity Rule is that a
department member may be compelled to give statements under threat of
discipline or discharge, but those statements may not be used in the criminal
prosecution of the individual officer. This means that the Garrity Rule only
protects a department member from criminal prosecution based upon statements
he or she might make under threat of discipline or discharge.
H. Internal Complaint — Complaint initiated by member(s) within the Department.
I. Misconduct — An act or omission by an employee which if proven true would
normally result in some form of counseling, remediation, sanction or discipline.
J. Preponderance of the Evidence — The standard of proof (greater weight of
evidence) required in a civil case for the trier of fact to decide in favor or one side
or another. Preponderance is based on the more convincing evidence and its
probable truth or accuracy, and not necessarily on the amount of evidence.
Preponderance of the evidence is required in a civil case and is contrasted with
"beyond a reasonable doubt," which is the more severe test of evidence required
to convict in a criminal case.
K. Probable Cause — Facts or evidence that would make a reasonable person believe
that wrong doing has been, or is being committed. Probable cause sources can
usually be placed in four categories: Observation, Expertise, Information,
Circumstantial Evidence.
L. Professional Standards Unit (PSU) — Assignment of one or more Investigators
to explore and report back on the evidence and facts surrounding a complaint or
incident.
M. Professional Standards Investigation (PSI) — Investigation conducted by the
Professional Standards Unit. Depending on the facts and evidence gathered, a PSI
may or may not lead to disciplinary action up to, and including termination
(indefinite suspension). If criminal violations are uncovered in the process of the
investigation, these may be filed.
N. Supervisory Inquiry (SI) — Preliminary inquiry of a complaint by the immediate
supervisor or chain of command of the officer or incident who is the subject of the
complaint.
O. Weingarten Rights — Supreme Court ruling stating that denying an employee
Union representation during a disciplinary meeting or hearing violates his/her
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rights. All Officers should understand several important aspects of Weingarten
Rights:
1. The right to have a Union representative present only applies in situations
where an employee reasonably believes that the investigation will result in
disciplinary action against him or her personally. Disciplinary actions
include suspension, demotion or termination, with associated
documentation of these being placed in the employee's civil service
personnel file (permanent file).
2. The meeting must be investigatory in nature. Where the purpose of the
meeting is simply to counsel or discuss performance issues in a non -
disciplinary manner, the employee's Weingarten rights have not been
denied by not having a Union representative present.
3. The employee must request that a Union representative be present or the
right is considered to be waived. The Weingarten ruling does not require
employers to warn employees of their right to Union representation.
V. Complaint Management Process
A. Complaints will be managed as set forth in this policy.
B. Ideally, complaints should be resolved at the lowest possible level in an
organization, so Chief and Company Officers should do their best to both mediate
differences between personnel and educate others on the department's mission,
programs and services.
C. Chief and Company Officers are authorized and expected to resolve minor
complaints at the time the complaint is received, if possible.
1. If an internal complaint requires further inquiry for a resolution, it should
be referred through the chain of command.
2. If a citizen complaint requires further inquiry for resolution, it should be
referred to the Planning Section Chief for evaluation by a
PIO/Investigator. (See Section V E 3. below)
D. Types of Complaints
1. Citizen Complaints
a. A citizen complaint must contain sufficient factual information to
be investigated.
b. A citizen must make a sworn statement for an investigation of
his/her complaint to be conducted where he/she is the listed
complainant.
c. It is not necessary for a citizen to make a sworn statement to
initiate an Administrative Inquiry (See Section VII).
d. Upon final adjudication of a complaint, the complainant will be
notified in writing or electronically of the disposition.
e. Citizen complaints on employees will not be accepted more than
thirty (30) days after the alleged incident, with the following
exceptions:
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1) When the complaint involves a criminal investigation; or
2) When otherwise authorized by the Fire Chief.
2. Internal Complaints
a. All Chief and Company Officers (including those temporarily
promoted) have a duty to act and to properly document their efforts
to resolve complaints and/or policy violations.
b. All personnel have a duty to report complaints and/or policy
violations to their immediate supervisor. Supervisors have a duty
to deliver a good faith effort to resolve complaints and policy
violations at the lowest possible level in the organization.
c. Inquiries or investigations which reveal evidence of misconduct
that is not based on the original complaint may be investigated as
internal complaints.
3. When a complaint involves a criminal violation, the criminal statute of
limitations will prevail.
E. Making a Complaint
1. Citizen Complaints, whether received by mail, email, telephone or in
person will be accepted, and documented.
2. Internal Complaints must be made in writing and:
a. Normally forwarded through the individual's chain of command
via email, or
b. Infrequently submitted directly to the Professional Standards Unit
(Examples: cases involving harassment, retaliation, etc.).
F. Receiving a Complaint
1. The Officer in charge is responsible for receiving, attempting to resolve,
and properly processing all complaints.
2. If a citizen complaint is resolved at lower levels (without the
assistance/intervention of PTOs), the Officer in charge should email the
Planning Section Chief (copy Grade III PIO/Investigators on emails) with
details about the complaint and the resolution achieved.
3. If a citizen complaint cannot be resolved by the Officer in charge, he/she
will:
a. Forward complaints received by mail or email with relevant facts
concerning the incident to the Planning Section Chief (copy Grade
IIIInvestigators on emails).
b. During normal business hours, forward phone complaints to the
Planning Section Chief or PIO/Investigator on -duty at 880-3905.
a. After normal business hours, obtain contact information and
relevant facts. Report these via email to the Planning Section Chief
(copy Grade III PIO/Investigators). If the complaint is deemed
critical by the Officer in charge, contact the PIO/Investigator on-
call.
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4. If an internal complaint cannot be resolved by the Officer in charge,
he/she will forward the complaint up through his/her chain of command.
(See exception in Section VLE.2. b above).
G. When received, the Planning Section Chief will assign PIO/Investigator(s) to
evaluate the complaint/incident. Dispositions at this level can include:
1. Complaint documented for informational purposes only.
2. Complaint proceeds to a Supervisory Inquiry (SI).
3. Complaint proceeds to an Administrative Inquiry (AI).
4. Complaint proceeds to a Professional Standards Investigation (PSI).
VI. Inquiry Process
A. Types of Inquiries
1. Supervisory Inquiry (SI)
a. Will normally include, but not be limited to, complaints regarding
minor policy violations or behavior/attitude/demeanor of an
officer.
b. May be triggered by a complainant(s) contacting the supervisor
directly or by a referral from the Professional Standards Unit
(PSU).
c. Depending on the facts and evidence gathered, a supervisory
inquiry alone may or may not lead to disciplinary action up to and
including reprimand.
d. Supervisory inquiries may also be referred to the PSU to initiate a
Professional Standards Investigation (PSI).
2. Administrative Inquiry
a. Will normally be based on, but not be limited to, anonymous
citizen complaints.
b. Will only be conducted at the direction of the Fire Chief.
C. May result in an internal complaint being filed by the
Professional Standards Unit (PSU) or Fire Chief, if the inquiry
identifies potential statute or policy violation(s). A subsequent
Professional Standards Investigation (PSI) would then be
initiated.
B. Supervisory Inquiry (SI)
1. Chief and/or Company Officers are responsible for:
a. Conducting preliminary interviews with the complainant, the
officer complained on, and any other witnesses to the incident.
b. Obtaining and/or reviewing any facts/evidence related to the
incident, such as dispatch or phone recordings, documentation, etc.
to determine if probable cause for a Professional Standards
Investigation (PSI) is warranted.
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c. Providing status updates and an inquiry report via email to his/her
chain of command and/or the PSU with a recommendation for
further action, as applicable.
2. Complaints which are Sustained based solely on a Supervisory Inquiry
may result in:
a. Additional training or Re-training
b. Counseling/Coaching
c. Reprimand
3. In cases where a Supervisory Inquiry (SI) recommends a reprimand, the
case will be submitted to the Planning Section Chief for review. Based on
the review, the case may be referred to the:
a. PSU for further inquiry and/or investigation, or
b. DRB for a hearing, or
c. Fire Chief for final disposition.
4. If referred directly to the Fire Chief, he/she may:
a. Refer the case back to the PSU for further inquiry and/or
investigation, or
b. Refer the case to the DRB for a hearing, or
c. Make a determination for final disposition.
5. Preparation and Serving of Reprimands
a. When a reprimand will be issued, the Fire Chief will coordinate
with the applicable Section Chief to prepare the reprimand
documentation.
b. Serving the reprimand will be coordinated by the Section or
Deputy Chief. The coordinating Chief Officer may delegate the
applicable supervising Chief or Company Officer to actually serve
the reprimand.
c. The member receiving the reprimand will be provided a copy of
the documentation by the Chief or Company Officer.
d. The original documentation will be returned to the Fire Chief's
office the same business day.
e. The Fire Chiefs office will file a copy in the individual's
department personnel file, and retain the original in a confidential
department file.
C. Administrative Inquiry
1. When directed by the Fire Chief, a PIO/Investigator will be assigned to
perform an administrative inquiry.
2. If the inquiry determines that probable cause exists for statute, policy or
criminal violations, the inquiry will be upgraded to an investigation.
VII. Investigation Process
A. Types of Investigations
1. Professional Standards Investigation (PSI)
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a. Will normally include, but not be limited to, complaints regarding
more serious policy infractions or behavior/attitude/demeanor of
an officer.
b. Are triggered by referrals to the PSU.
2. Criminal Investigations
a. May be conducted concurrently with inquiries or professional
standards, or fatality investigations.
b. Evidence and/or statements obtained from criminal investigations
may be used in the PSI process.
3. Fatality/Injury Investigations
a. May be conducted concurrently with inquiries, professional
standards or criminal investigations.
b. Evidence and/or statements obtained from fatality/injury
investigations may be used in the PSI process.
B. Inquiry to Investigation Options
1. Supervisory inquiry is reviewed/accepted by the PSU, or
2. Supervisory inquiry is reviewed/upgraded and subsequent Professional
Standards Investigation is conducted by the PSU, or
3. PSU conducts an Administrative Inquiry and/or Professional Standards
Investigation.
4. PSU normally utilizes or coordinates with external law enforcement
agencies for criminal, fatality or combination investigation cases.
C. Professional Standards Investigation (PSI)
1. Once an Investigator is assigned to a case, he/she will send notice to the
complainant and accused employee (if any) through electronic or hardcopy
distribution of a Notice of Investigation [See Appendix A].
2. The PSU Investigator(s) will gather facts and evidence, including but not
limited to conducting interviews and/or taking statements from personnel
and citizens.
3. Interview/Statement Process
a. A minimum of 72 hours prior to conducting an interview and/or
taking a sworn statement, the PSU Investigator will distribute a
Notice of Interview [See Appendix BJ via electronic or hardcopy
means to the employee being interviewed.
b. All interviews/statements will be recorded.
c. Employees are expected to be truthful and forthcoming during the
interview/statement process. Lying or attempting to withhold the
truth during an investigatory interview and/or sworn statement
constitutes grounds for dismissal.
d. Pre -Interview Admonishments & Ground Rules
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1) The Investigator will read and have the interviewee sign the
appropriate admonishment and interview ground rules [See
Appendix C]:
a) Compelled Suspect Employee Admonishment
b) Non -Compelled Suspect Employee Admonishment
c) Witness Employee Admonishment
2) The reading and signing of interview admonishments and
ground rules will be recorded in the interview record by the
Investigator.
e. Ground Rules: Employees being interviewed may have one
representative of their choice accompany them into the interview.
1) The representative will be restricted from coaching the
employee. The representative will be required to state
objections and their specific form rather than providing
detailed explanations for their objection (Example:
"Objection -Leading Question'), as detailed objections can
be a method of coaching the employee. The Investigator
will note the objection on the record and continue the
interview.
2) The employee should be allowed to briefly confer with
his/her representative at any time during the interview.
These conferences will be noted on the record by the
Investigator.
3) Long lasting or disruptive delays will not be permitted. If
such instances occur and they are inhibiting the ability to
conduct a reasonable inquiry of the employee, the
Investigator will order the employee and/or representative
to cooperate.
4) If the employee or his/her representative fails to heed an
order to cooperate, the Investigator will indicate this on the
record, state that the employee and/or his/her
representative's actions constitute Insubordination, and
may result in an additional complaint being filed against
the employee.
5) Each occurrence of failure to cooperate will be noted in the
record and may be filed as separate and successive acts of
Insubordination.
f The Investigator should provide a copy of the signed statement to
the interviewee at the conclusion of the interview process.
4. The assigned PSU Investigator is responsible for:
a. Tracking of the complaint and investigation.
b. Thorough and timely completion of the investigation.
c. Submittal of status and/or final investigative reports with
associated evidence through his/her chain of command.
5. Under normal circumstances, Professional Standard Investigations should
be completed and ready for DRB presentation within 60 days of the
receipt of the complaint. Supervisory inquiries should be completed and
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returned to the PSU within 30 days of receipt by the supervisor.
Exceptions must be approved by the Planning Section Chief.
D. Criminal Investigation
1. Criminal investigations involving fire department employees will
normally be conducted by external law enforcement personnel.
2. An administrative investigation may be conducted concurrently with the
criminal investigation (combination investigation).
3. A member who is arrested shall notify the Deputy or Section Chief in
compliance with R&R 102.01 -Code of Conduct & General Rules.
4. Regardless of arrest status, any employee who is issued a non -traffic
citation by any law enforcement agency is required to immediately report
the incident to the on -duty Deputy or his/her Section Chief. The Deputy
and/or Section Chief will notify the Fire Chief.
5. A member who becomes aware of the arrest of any department employee
shall notify the on -duty Deputy or Section Chief immediately. The Deputy
and/or Section Chief will notify the Fire Chief.
E. Fatality/Injury Investigations
1. Fatality investigations will normally be conducted by external law
enforcement personnel.
2. An administrative or criminal investigation may be conducted
concurrently with a fatality/injury investigation (combination
investigation).
F. All external requests for information concerning investigations will adhere to
SOG 703.01— Requests for Public Information.
VIII. Adjudication/Discipline Process
A. Based on the seriousness of the allegation(s) and the findings of the investigation,
the case is referred to the:
1. Disciplinary Review Board for review and hearing, or
2. Fire Chief directly for adjudication. (Normally done in cases where there
is no question of fact, such as officer's admission(s), overwhelming
evidence, etc.)
B. A minimum of 72 hours prior to conducting a hearing of the Disciplinary Review
Board, the PSU Investigator will distribute either an electronic or hardcopy Notice
of Hearing [See Appendix DJ to the accused, and/or witnesses required or
requested to be present at the hearing. A copy of the investigative file will be
provided to the accused along with the Notice of Hearing.
C. Hearing Deferral Requests
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1. If an accused member requires additional time to prepare for the hearing,
he/she will contact the lead PSU Investigator and/or Planning Section
Chief as soon as possible after the receipt of the Notice of Hearing to
request a deferral.
2. Deferral requests may be initially requested by phone, but should be
followed up via email by the accused member. The email is the member's
receipt verifying his/her request and communicates what he/she believes
to be the pertinent facts associated with the deferral request.
D. Rescheduling of a Deferred Hearing
1. Should not exceed 14 calendar days from the original hearing date, unless
approved by the DRB.
2. No more than one hearing deferral will be granted without the approval of
the DRB.
3. Requests for additional deferrals or extenuating circumstances will be
detailed in writing to the lead PSU Investigator and/or Planning Section
Chief, who will forward the information to the DRB for consideration.
E. Disciplinary Review Board
1. The composition of the Disciplinary Review Board (DRB) is at the
discretion of the Fire Chief, but will normally include three (3) to five (5)
Chief Officers.
2. The DRB will meet as needed to review and/or hear cases.
3. All testimony before the DRB shall be audio recorded, and may be video
recorded. The DRB will permit testimony at its discretion.
4. Any member may be required to appear before the DRB at the direction of
the PSU, DRB or Fire Chief.
5. A complainant or any witness who has given a sworn statement regarding
the investigation may request to appear before the DRB. The DRB may
also request/require that the complainant or witness(s) appear.
6. Members, complainants, witnesses or others testifying before the DRB
may have one representative accompany them to observe the testimony.
The member may confer with his her representative briefly during the
hearing. The DRB may remove the representative from the hearing for
participating in, disrupting, delaying or interfering with the hearing.
7. All deliberations of the DRB are confidential, and will not be discussed
with anyone except other DRB members, PSU personnel and/or the
individual(s) chain of command.
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8. After the hearing has concluded and a disposition and/or consequences
have been determined, the PSU Investigator(s) may only disclose the case
disposition and consequences to the officer(s) under investigation. Any
other information must be disclosed per Section X- Confidentiality, of this
policy.
B. The standard of proof required is a preponderance of the evidence.
C. Case Dispositions
1. Unfounded — The alleged incident did not occur.
2. Exonerated — The alleged incident did occur, and the member's action
were within policy, lawful and/or proper.
3. Not Sustained — The investigation failed to disclose sufficient evidence to
clearly prove or disprove the allegation.
4. Sustained — The investigation disclosed sufficient evidence to substantiate
the allegation.
D. Consequences: Corrective and/or disciplinary action may include, but not be
limited to, the following (Items 1-5 are corrective actions; items 6-8 are
disciplinary actions):
1. Additional Training or Re-training
2. Counseling/Coaching
3. Repayment for Damaged/Lost/Stolen Equipment
4. Being Coded Without Pay (WP) for tardiness/failure to report, failure to
properly document absences, away without leave, etc.
5. Reprimand
6. Suspension Without Pay (SX code)
7. Demotion in Rank
8. Termination of Employment (Indefinite Suspension)
F. As applicable, the Fire Chief considers recommendations from the Disciplinary
Review Board and renders final case adjudication.
G. The final disposition of the case will be distributed to the complainant, accused
and DRB members via electronic or hardcopy means by the Fire Chief.
H. Reprimands will follow the process outlined in Section VI.B.5. of this policy.
I. Suspensions (Including Indefinite Suspension)
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 1 1 of 27
1. When the final disposition includes suspension, the Fire Chief will
coordinate drawing up the Statement of Action documentation [See
Appendix E].
2. He/she will coordinate with Section and/or Deputy Chiefs on suspension
dates (for suspensions less than indefinite).
3. When the documentation is ready, Section and/or Deputy Chief will
coordinate a time for the member facing suspension to report to the Fire
Chief's office to complete the documentation.
4. At the time of the meeting, the member will receive copies of both the
signed Statement of Action and his/her Rights of Appeal.
J. Demotions in Rank will follow Local Government Code, Chapter 143 -Municipal
Civil Service, Subchapter D -Disciplinary Actions, Section 143.054 -Demotions.
K. Abeyance Program
1. Upon written agreement between the Fire Chief and an employee who is
to receive an indefinite suspension without pay (termination), the Fire
Chief may hold some or all of the suspension in abeyance. The offer to
participate in the Abeyance Program will be made at the discretion of the
Fire Chief.
2. With input from appropriate personnel (Examples may include: The
employee's Union representation, Command staff, Human Resources,
Employee Assistance Program, Civil Service Director, and/or City
Attorney) a Settlement Agreement may be developed.
3. To hold the suspension in abeyance, the involved employee and the Fire
Chief must agree to and sign a Settlement Agreement.
4. The Settlement Agreement will include consequences to the employee for
future policy violations within a specified time period.
5. Any costs for the scheduled program(s) will be assumed by the employee
and participation in program activities will be on an off-duty basis,
however, the employee's Section or Deputy Chief will normally
coordinate and provide status updates on the process.
6. The employee will agree to have a member of the department verify
his/her active participation and status in the program.
7. Successful completion of the program will be noted in writing in the final
disposition of the complaint documentation and filed in accordance with
normal procedures.
8. The employee must agree to waive any and all further administrative or
judicial remedies regarding the indefinite suspension.
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9. If at any time the employee decides to prematurely end, fails to meet the
requirements of, actively participate in, and/or successfully complete the
program, the originally recommended disciplinary action will be imposed.
IX. Employee Notifications & Rights
A. Employee Notifications
1. Regardless of rank, members will consider requests, orders, verbal or
written communications regarding administrative inquiries or
investigations from Professional Standards Unit (PSU) Investigators as
direct orders from the Fire Chief. Compliance is expected.
2. Members are required to fully cooperate in all inquiries and/or
investigations in a timely manner.
3. Members are responsible for having knowledge of and requesting the use
of their Garrity and/or Weingarten Rights, if the exercise of these rights is
their wish (See IV. Definitions). Members may be advised of their right to
Union representation prior to being interviewed by an Investigator (having
a statement taken).
4. Members will have no right to or expectation of privacy in any equipment,
including but not limited to, lockers, desks, vehicles, computers, or any
other equipment utilized while on -duty or used to provide departmental
services.
5. Supervisory or PSU personnel may conduct reasonable searches of
departmental equipment and facilities, any equipment utilized while on -
duty, or used to provide departmental services for the purpose of
identifying and securing evidence that may be utilized as a part of a
Professional Standards Investigation. The search must be approved by the
employee's Section Chief or the Fire Chief.
6. Employees may additionally be referred by the Fire Chief to law
enforcement to undergo the medical and/or laboratory examinations (may
include, but not be limited to breath, blood, urine, and/or DNA testing) in
conjunction with an investigation
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SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 13 of 27
7. Photographs
a. A photograph identification file of all department employees will
be maintained by Fire Administration.
b. Photographic identification will be used narrowly related to a
Professional Standards Investigation for identification purposes
only.
c. Officers may be required to have additional photographs taken.
B. Employee Rights
1. Employees will be notified electronically or via hardcopy of any
Professional Standards Investigation (PSI) which involves them, either as
the party investigated or as a witness.
2. Interview Rights
a. Employees may have one representative of his/her choice present
during interview(s) with an Investigator(s).
b. The representative is not permitted to coach the employee, disrupt,
delay or interfere with the interview in any manner.
3. Employees will be notified electronically or via hardcopy if they are
required to appear before the Disciplinary Review Board (DRB).
4. Employees will be notified electronically or via hardcopy if it is their
option to appear before the Disciplinary Review Board (DRB).
5. Employees who are the subject of a Professional Standards Investigation
(PSI) will be notified electronically or via hardcopy of the outcome of the
investigation.
6. Rights of Appeal—Employees may appeal disciplinary actions through
one of the following processes:
a. Article XXXII-Grievance Procedure of the current collective
bargaining agreement. (G:AShared Folder\1-A&F Section\CBAs)
b. Texas Local Government Code Chapter 143 -Municipal Civil
Service, Subchapter D. Disciplinary Actions. (G:AShared Folder\l-
A&F Section\Civil Service)
X. Confidentiality
A. The progress of pending PSI cases and all supporting materials are considered
confidential information, and may only be discussed with PSU personnel, the
DRB and/or the individual's chain of command.
B. The intent is to protect the confidentiality of witness statements in PSU
investigations. All employees are to comply with this intent.
1. Members who give an affidavit to a PSU Investigator are hereby ordered
to not discuss (or otherwise show any written communication regarding)
their statement (or affidavit) with anyone, until after the conclusion of the
investigation.
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2. If there is discipline related to the investigation which results in
subsequent arbitration or appeal, the order is to not discuss the statement
remains in effect until the conclusion of the arbitration and/or appeals
process.
3. The following exceptions to items 1 and 2 above apply for administrative
investigations:
a. His/her Union representative
b. His/ her Attorney
4. The following exceptions to items 1 and 2 above apply in criminal
investigations or combination cases (alleging both criminal and
administrative violations)
a. His/her Union representative
b. His/her Attorney
c. Criminal Investigators
d. District Attorney's Office
e. U.S. Attorney's Office
f With the written permission of the PSU Investigator and/or the
member's Section Chief (Operations, Logistics, Planning).
C. If compliance with Section B is perceived to be impractical or unjust in a
particular circumstance, the member will address his/her particular concerns in
writing to the PSU Investigator, Planning Section Chief, and Operations Section
Chief for consideration.
D. Members should be aware that the Garrity ruling does not protect the disclosure
or release of affidavits in all circumstances.
E. The information and records of Professional Standards Investigations (PSI) shall
be released in accordance with current law, court order and/or subpoena.
F. Any release of information to anyone outside the Department regarding any PSI
files must be approved by the Planning Section Chief and City Attorney's office.
G. Members may review their own PSI file while under the supervision of an
Investigator. Members may review their own personnel or civil service file in
accordance with civil service law.
XIII. Information Analysis, File Maintenance & Retention
A. The Planning Section shall maintain a comprehensive file/log of all complaints
received, inquiries and/or investigation conducted, and resolutions achieved.
These detailed files shall be confidential.
B. The purpose of gathering and analyzing complaint information is ultimately to
improve the services provided by, and uphold the integrity and reputation of the
department and its members. Summary information and/or "lessons learned" will
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 15 of 27
be complied by the Planning Section and reviewed by the Management Team as
required for this purpose.
C. Appropriate documentation involving sustained complaints which result in
reprimand, suspension, demotion or termination will be forwarded to the Civil
Service Director by the Fire Chief.
D. Retention of records related to professional standards investigations may be
carried out in accordance with the current State records retention schedule.
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 16 of 27
Appendix A — Notice of Investigation
DATE OF NOTICE: X -XX -2012
ACCUSED: XXXXXXXXXXXXXXXXXXXXXX
COMPLAINANT: XXXXXXXXXXXXXXXXXXXXXX
PSD CASE#: 20XX-XX
The Professional Standards Detail is conducting an investigation into allegation(s) made
by the above complainant. The complaint has been classified as follows:
Misconduct'
A statement from you will be required in addition to any audio/video recording(s) or
other evidence that may be relevant.
fST.IC°TfS.
1) you are not to dliisc,uss tllhme investigation with anyone except your:
• Union Representative
• Chain of Command
0 Attorney
() If you feedll lilt is necessary to discussthis case with any other person, you rnustfirst
c'ontac't your Section Chieffor c,lllearanc,e to do so.
3) A vliiolllatliion of any ofthese instructions ornay leadto dliisc,liiplllliiormaory action.
Should the investigation result in charges being filed against you, a hearing may be
scheduled for you to provide evidence and/or witnesses in your defense.
Please contact Captain at 880-3905 if you have any questions.
Anne Huff, Fire Chief
1 Does not preclude violations that become apparent during the investigation.
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 17 of 27
Appendix B — Notice of Interview
i/,�'i w �!/ / f/0 ti%� ir,I iL 1!, -,iii %�5%�!; � • � � � � � � •
1
DATE OF NOTICE: X -XX -2012
ACCUSED: XXXXXXXXXXXXXXXXXXXXXX
COMPLAINANT: XXXXXXXXXXXXXXXXXXXXXX
PSD CASE#: 20XX-XX
The Professional Standards Detail is conducting an investigation into allegation(s) made
by the above complainant. The complaint has been classified as follows:
Misconduct2
A statement from you will be required in addition to any audio/video recording(s) that
may be relevant. You are ordered to appear for an interview concerning this complaint on:
Date:X/XX/20XX
Time: XXXX i°°louiir
Location: Fire IQ XXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXX
You have the right to Union representation and may have an attorney or family member
present with you for support. However, please be aware that only one individual may
accompany you into the actual interview session. A copy of the complaint will be provided to
the accused along with this notice.
Should the investigation result in charges being filed against you, a hearing may be
scheduled for you to provide evidence and/or witnesses in your defense.
Please contact Captain
Anne Huff, Fire Chief
at 880-3905 if you have any questions.
2 Does not preclude violations that become apparent during the interview.
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 18 of 27
Appendix C — Admonishments & Ground Rules
�!
=mum Compelled Suspect
R
EA
Employee Admonishment
I am of Beaumont Fire -Rescue Services. I have been assigned
to conduct an administrative investigation into the (incident or specific allegations).
You understand that this conversation is being recorded?
You are required to truthfully and completely answer questions which are specifically, narrowly
and directly related to this administrative investigation. If you fail to do so or refuse to do so, your actions
will be deemed insubordination. For this act alone, you may be disciplined up to and including
termination.
This is a compelled statement. You are being ordered to give this statement. Your statement will
not be used in any criminal proceeding regarding these matters, except if you commit perjury. It is
exclusively for use during this administrative investigation.
You are also required to fully and honestly assist in this investigation. Your failure to answer
questions honestly and completely may subject you to discipline for engaging in giving false and/or
misleading statements during an administrative investigation.
Do you understand this admonishment? Is there anything that you don't understand about your
duties and responsibilities during this investigation? Is there any reason that you cannot participate in this
investigation and interview?
Interview Ground Rules:
Employees being interviewed may have one representative of their choice accompany them into the interview.
1) The representative will be restricted from coaching the employee. The representative will be required to
state objections and their specific form rather than providing detailed explanations for their objection
(Example: "Objection -Leading Question'), as detailed objections can be a method of coaching the
employee. The Investigator will note the objection on the record and continue the interview.
2) The employee should be allowed to briefly confer with his/her representative at any time during the
interview. These conferences will be noted on the record by the Investigator.
3) Long lasting or disruptive delays will not be permitted. If such instances occur and they are inhibiting the
ability to conduct a reasonable inquiry of the employee, the Investigator will order the employee and/or
representative to cooperate.
4) If the employee or his/her representative fails to heed an order to cooperate, the Investigator will indicate
this on the record, state that the employee and/or his/her representative's actions constitute Insubordination,
and may result in an additional complaint being filed against the employee.
5) Each occurrence of failure to cooperate will be noted in the record and may be filed as separate and
successive acts of Insubordination.
[Employee Name]
Date
. Use this admonishment if the complaint is not based on criminal charges, or if the criminal charges are minor.
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 19 of 27
Appendix C — Admonishments & Ground Rules
�!
MAKUM Non -Compelled Suspect
I� d
W
IN OINTIII'�Employee Admonishment
I am of Beaumont Fire -Rescue Services. I have been
assigned to conduct an administrative investigation into the (incident or specific allegations).
You understand that this conversation is being recorded?
You are entitled to all of the rights and privileges guaranteed by the laws and constitution
of the State of Texas and the laws and constitution of the United States, including the right not to
be compelled to incriminate yourself.
You have the right to remain silent. You do not need to talk with me about this matter if
you do not want to.
You are free to go and leave at any time. You are not being compelled to answer my
questions.
If you want an attorney to be present now or in the future, you are entitled to such
representation.
There will be no disciplinary sanctions should you elect not to answer my questions.
We would like you to cooperate with our investigation so that we can come to a proper
conclusion.
Do you understand what I've just said?
Do you with to have an attorney present?
Are you willing to voluntarily cooperate with us in this investigation?
111� 1m Il[ l� m�yi�i^ mil ��i^ W iu� ��i��^ 111111�,
If interview is terminated, sign below.
[Employee Name]
Date
Ill0 t11t,,� R ummV, ;X I aulluu1m°ollX ca° V,ub,,. , t11t,� u11 b,,. In °� � I� i°illll ca 11nti11ni.ua"'.I� ut 11 C u°auuu11nd Ruullt,e, auun 11 Rt,.xt �
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 20 of 27
Non -Compelled Suspect Employee Admonishment, page 2
Interview Ground Rules:
Employees being interviewed may have one representative of their choice accompany them into
the interview.
I. The representative will be restricted from coaching the employee. The representative
will be required to state objections and their specific form rather than providing
detailed explanations for their objection (Example: "Objection -Leading Question'),
as detailed objections can be a method of coaching the employee. The Investigator
will note the objection on the record and continue the interview.
2. The employee should be allowed to briefly confer with his/her representative at any
time during the interview. These conferences will be noted on the record by the
Investigator.
3. Long lasting or disruptive delays will not be permitted. If such instances occur and
they are inhibiting the ability to conduct a reasonable inquiry of the employee, the
Investigator will order the employee and/or representative to cooperate.
4. If the employee or his/her representative fails to heed an order to cooperate, the
Investigator will indicate this on the record, state that the employee and/or his/her
representative's actions constitute Insubordination, and may result in an additional
complaint being filed against the employee.
5. Each occurrence of failure to cooperate will be noted in the record and may be filed
as separate and successive acts of Insubordination.
If the employee voluntarily cooperates, sign below.
[Employee Name]
Date
. Use this admonishment if there are or may be serious criminal charges and law enforcement does not want to risk
the possibility of immunity being a consideration.
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 21 of 27
Appendix C — Admonishments & Ground Rules
6
BER
IWitnessEmployee Admonishment
1 T,,�,,111:1.11"11111
I am of Beaumont Fire -Rescue Services. I have been
assigned to conduct an administrative investigation into the (incident or specific allegations).
You understand that this conversation is being recorded?
You are here as a witness. A complaint has not been filed against you and you are not
under investigation in this matter.
You are required to truthfully and completely answer questions which are specifically,
narrowly and directly related to this administrative investigation. If you fail to do so or refuse to
do so, your actions will be deemed insubordination. For this act alone, you may be disciplined up
to and including termination.
You are also required to fully and honestly assist in this investigation. Your failure to
answer questions honestly and completely may subject you to discipline for engaging in giving
false and/or misleading statements during an administrative investigation.
Do you understand this admonishment? Is there anything that you don't understand about
your duties and responsibilities during this investigation? Is there any reason that you cannot
participate in this investigation and interview?
Interview Ground Rules:
Employees being interviewed may have one representative of their choice accompany them into the interview.
1. The representative will be restricted from coaching the employee. The representative will be required to
state objections and their specific form rather than providing detailed explanations for their objection
(Example: "Objection -Leading Question'), as detailed objections can be a method of coaching the
employee. The Investigator will note the objection on the record and continue the interview.
2. The employee should be allowed to briefly confer with his/her representative at any time during the
interview. These conferences will be noted on the record by the Investigator.
3. Long lasting or disruptive delays will not be permitted. If such instances occur and they are inhibiting the
ability to conduct a reasonable inquiry of the employee, the Investigator will order the employee and/or
representative to cooperate.
4. If the employee or his/her representative fails to heed an order to cooperate, the Investigator will indicate
this on the record, state that the employee and/or his/her representative's actions constitute Insubordination,
and may result in an additional complaint being filed against the employee.
5. Each occurrence of failure to cooperate will be noted in the record and may be filed as separate and
successive acts of Insubordination.
[Employee Name]
Date
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 22 of 27
Appendix D — Notice of Hearing
1
DATE OF NOTICE: X -XX -2012
ACCUSED: XXXXXXXXXXXXXXXXXXXXXX
COMPLAINANT: XXXXXXXXXXXXXXXXXXXXXX
PSD CASE#: 20XX-XX
The Professional Standards Unit has conducted an investigation into allegation(s) made by
the above complainant. Based on the findings of the investigation, it has been concluded that
the following violations may exist:
IICDiir iirI'll, T...�0il
rm...IAT DO 10::°]
• Texas Local Government Code, Chapter 143.051 -Cause for Removal or Suspension:
(1) Conviction of a felony or other crime involving moral turpitude;
(2) Violations of a municipal charter provision;
(3) Acts of incompetency;
(4) Neglect of duty;
(5) Discourtesy to the public or to a fellow employee while the firefighter or police
officer is in the line of duty;
(6) Acts showing a lack of good moral character;
(7) Drinking intoxicants while on duty or intoxication while off duty;
(8) Conduct prejudicial to good order;
(9) Refusal or neglect to pay just debts;
(10) Absence without leave;
(11) Shirking duty or cowardice at fires;
(12) Violation of an applicable fire or police department rule or special order.
• City of Beaumont Rules of the Firemen's & Policemen's Civil Service Commission,
Section 55 -Grounds for Dismissal or Suspension
(a) Conviction of a felony or other crime involving moral turpitude;
(b) Violations of any provision of the Charter of the City of Beaumont;
(c) Incompetency;
(d) Neglect of duty;
(e) Discourtesy to the public or to a fellow employee while the in the line of duty
(f) Commission of act showing lack of good moral character;
(g) Drinking of intoxicants while on duty;
(h) Intoxication while off duty;
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 23 of 27
W Conduct prejudicial to good order;
(j) Refusal or neglect to pay just debts;
(k) Absence without leave;
(1) Shirking duty;
(m) Cowardice at fires;
(o) Violation of any of the rules of the rules and regulations of the Fire Department
or Police Department.
Beaumont Fire -Rescue Services Rules & Regulations Ill UST AIII..L I10TEINIAIAL VIO ATIOINI" '�
■ XXX.XX — xxxxxxxxxxxxxxxxxx
V.V.#.v.xxxxxxxx.
• Beaumont Fire -Rescue Standard Operating Guidelines
■ XXX.XX — xxxxxxxxxxxxxxxxxx
V.V.#.v.xxxxxxxx.
You are ordered to appear at a hearing to provide evidence and/or witnesses in your
defense on:
Date:
Time: XXXX i°°louiir
Location: Fire IQ XXXXXXXXXX
xxxxxxxxxxxxxx
You have the right to Union representation and may have an attorney present at the
time of the hearing. However, please be aware that only one individual may accompany you
into the hearing as your representative. The accused will be provided a copy of the investigative
file along with this notice.
fygyLg Ig y2pg, result in dis lin
Please contact Captain
Anne Huff, Fire Chief
Received by:
[Employee Name]
at 880-3905 if you have any questions.
Date
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 24 of 27
Appendix E — Statement of Action
STATEMENT OF ACTION
IN THE MATTER OF THE DISCIPLINARY SUSPENSION OF
XXXXXXXXXXXX
Under the provisions of V.T.C.A., Local Government Code, Chapter 143.001, et seq., I
have this the ## day of [MONTH], 2012, suspended [RANK NAME] for disciplinary purposes for
a period of ## calendar days, beginning on the ## day of [MONTH], 2012, at [00001 hours
and ending on the ## day of MONTH 2012, at [00001 hours.
[RANK NAME] has violated the provisions of Local Government Code, Section 143.051,
which provide, in part:
CAUSE FOR REMOVAL OR SUSPENSION D IIIete those t I°mitt were not "I hAllNIE.�
(1) Conviction of a felony or other crime involving moral turpitude;
(2) Violations of a municipal charter provision;
(3) Acts of incompetency;
(4) Neglect of duty;
(5) Discourtesy to the public or to a fellow employee while the firefighter or
police officer is in the line of duty;
(6) Acts showing a lack of good moral character;
(7) Drinking intoxicants while on duty or intoxication while off duty;
(8) Conduct prejudicial to good order;
(9) Refusal or neglect to pay just debts;
(10) Absence without leave;
(11) Shirking duty or cowardice at fires;
(12) Violation of an applicable fire or police department rule or special order.
[RANK NAME] has violated the provisions of the City of Beaumont Rules of the Firemen
and Policemen Civil Service Commission, Section 55, which provides, in part:
CAUSE FOR DISMISSAL OR SUSPENSION Delllete those tliat were not "I hAllmIE.�
(a) Conviction of a felony or other crime involving moral turpitude;
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 25 of 27
(b) Violations of any provision of the Charter of the City of Beaumont;
(c) Incompetency;
(d) Neglect of duty;
(e) Discourtesy to the public or to a fellow employee while the in the line of
duty
(f) Commission of act showing lack of good moral character;
(g) Drinking of intoxicants while on duty;
(h) Intoxication while off duty;
(i) Conduct prejudicial to good order;
(j) Refusal or neglect to pay just debts;
(k) Absence without leave;
(1) Shirking duty;
(m) Cowardice at fires;
(o) Violation of any of the rules of the rules and regulations of the Fire
Department or Police Department.
[RANK NAME] has violated the provisions of the Beaumont Fire/Rescue Services Rules,
Regulations, and/or Special Orders which state in pertinent part as follows:
ACUST AIII..E E1 WAIINIED C1 IMUES'�
R&R 10X.XX-XXXXXXXX
I.xxxxxxxxxxxxxxx
xxxxxxxxxxxxxxxxxxxxxxxxxxx
SOG XXX.XX- XXXXXXXX
I.xxxxxxxxxxxxxxx
xxxxxxxxxxxxxxxxxxxxxxxxxxx
UNDER THESE CHARGES, IT IS ALLEGED THAT:
On XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXXXXXX.
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXXXX.
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX.
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 26 of 27
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX.
ALL OF THE ABOVE AFOREMENTIONED ACTS WERE DISCOVERED WITHIN THE 180
DAY PERIOD IMMEDIATELY PRECEDING THE DATE OF THIS DISCIPLINARY ACTION.
IN MAKING MY DECISION IN REGARDS TO THIS MATTER, I HAVE CONSIDERED PAST
DISCIPLINARY ACTION FOR THE SOLE PURPOSE OF DETERMINING THE DEGREE AND TYPE OF
DISCIPLINE, BUT NOT AS TO THE MERITS OF THE ALLEGATIONS.
You, [RANK NAME], have the right to appeal this disciplinary suspension pursuant to
Article XXXII-Grievance Procedure of the current contractual agreement between Beaumont
Firefighters' Local 399 and the City of Beaumont, or any extension thereof. Per LGC 143.057(a),
should you choose to appeal this action to an independent hearing examiner instead of the Civil
Service Commission, you understand that you waive all rights to appeal to a district court,
except as provided in subsection (j).
You, [RANK NAME], are hereby informed that should you choose to appeal this
disciplinary suspension to the Civil Service Commission, the appeal must be filed in writing with
the Commission within 10 days of your receipt of this statement (Reference: TLGC 143.052).
ANNE HUFF
Chief of the Fire Department
City of Beaumont, Texas
I, [RANK NAME], have been provided a copy of My Rights of Appeal (Article XXXII-
Grievance Procedure and LGC 143.051 through 143.057) as attachments to this Statement of
Action.
Delivered in person to [RANK NAME] by me on this the ## day of MONTH 2OXX, at
[00001 hours.
ANNE HUFF
Chief of the Fire Department
City of Beaumont, Texas
Signature of [RANK NAME]
SOG 702.02 — Complaint, Inquiry, Investigation, &Adjudication/Discipline Process Page 27 of 27