LAW ENFORCEMENT
ADMINISTRATIVE
INVESTIGATIONS
second edition
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a manual - guide
a supervisory and agency guide to:
handle citizen complaints of misconduct
conduct administrative investigations
manage the Internal Affairs function
create reasonable and defensible discipline
by lou reiter
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Table of Contents
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Acknowledgments
Authors
Preface
Introduction
Chapter 1 What is a Complaint?
1.1 Definition of a complaint
1.2 Definition of misconduct
1.3 Sources of complaints
1.4 Agency employee duties
Chapter 2 Acceptance of the Complaint
2.1 Receiving the complaint
2.2 Acceptance of the complaint
2.3 Preparing the personnel complaint form
2.4 Logging the complaint
2.5 Withdrawal of complaints
2.6 Responsibility for a preliminary investigation
Chapter 3 Investigative Responsibility
3.1 Internal Affairs Unit
3.2 Assignment of the investigation
3.3 Letter to the complainant
3.4 Investigation due dates and extensions
3.5 Investigations by line supervisors
3.6 Investigations to be conducted by Internal Affairs
3.7 Criminal investigations
3.8 Investigations by another agency
3.9 IAU responsibility during discipline appeal
Chapter 4 Preparing to conduct the investigation
4.1 Evaluate the complaint
4.2 Organizing the investigation
4.3 Use of a case folder
4.4 Organizing for the interviews
4.5 Learn current standards
Chapter 5 Interviews
5.1 Witness identification
5.2 Research each witness to be interviewed
5.3 Photographs of witnesses
5.4 Planning the interview process
5.5 Use of more than one investigator or when special investigative skills may become important
5.6 Order of the interviews
5.7 Scheduling interviews
5.8 Tape or video record all interviews
5.9 Verbatim transcriptions of all interviews
5.10 Representation during interviews
5.11 General interview techniques
5.12 Complainant interviews
5.13 Some practical tips for handling interview problems
5.14 Interviews with agency employees who are not accused
5.15 Interviewing the accused employee - general overview
5.16 Provision of a prior notice of a request to interview an accused employee
5.17 Admonishment of rights to accused employees
5.18 Some specific comments on interviewing accused employees
5.19 Furnishing interview statements to interviewees
Chapter 6 Evidence Use and Control
6.1 Use of all reasonable investigative techniques
6.2 Still photographic evidence
6.3 Use of videotape
6.4 Medical evidence
6.5 Impact equipment analysis
6.6 Surveys and diagrams
6.7 Ballistics
6.8 Communications records
6.9 Latent prints
6.10 Agency issued and employee personal equipment
6.11 Preplanned high risk operations
6.12 Personnel at the scene
6.13 Searches
6.14 Use of polygraph or voice stress detection equipment
6.15 Chemical tests
6.16 Photo and physical line-ups
6.17 Financial records
6.18 Use of covert collect techniques
Chapter 7 Domestic Violence
by Marilyn M. McFadden
7.1 How does the agency policy stack up against the legal goals, legislative trends and the spirit of the law on Domestic Violence?
7.2 The administrative definition of Domestic Violence
7.3 The complaint of Domestic Violence
7.4 The duty to report: notice to the agency of employee involved Domestic Violence
7.5 The agency employee subject to an injunction for protection against Domestic Violence
7.6 The administrative "No Contact" order
7.7 Scope of the investigation
7.8 The modus operandi of Domestic Violence
7.9 Risk assessment using red flags and lethality criteria
7.10 First established contact with the victim
7.11 The 911 call
7.12 Photographs
7.13 Property/evidence to be seized
7.14 Medical documentation
7.15 Chemical tests
7.16 Interviewing the children
7.17 Continued duty status
7.18 Weapons and firearms
7.19 Use of professional counseling services
Chapter 8 Sexual Harassment Investigations
by Sue Carter Collins
8.1 General definitions
8.2 Types of sexual harassment
8.3 Conduct that is not sexual harassment
8.4 Purpose of the sexual harassment investigation
8.5 Conducting an adequate investigation
8.6 Receiving the sexual harassment complaint
8.7 Identifying the accused employee
8.8 Selecting the right investigator
8.9 Interviewing the complainant
8.10 Interviewing witnesses
8.11 When preliminary contact with the accused employee is appropriate
8.12 Interviewing the accused employee
8.13 Conducting follow-up interviews
8.14 Maintaining confidentiality and the qualified privilege
8.15 Evaluating evidence of sexual harassment
8.16 Investigating sexual harassment involving verbal and non-verbal behavior
8.17 Investigating sex-based harassment
8.18 Filing false reports of sexual harassment
8.19 Communicating the results of the investigation to the complainant and the accused
8.20 Minimizing agency liability through the adoption of an effective sexual harassment prevention program
Chapter 9 Critical Incidents - Special Considerations
9.1 Who should handle these types of investigations
9.2 Duties of the first supervisor on the scene of a critical incident
9.3 Organizing for the investigation
9.4 How to handle the involved employee(s)
9.5 Responsibilities of other employees
9.6 Role of other official entities
9.7 News media relations
9.8 Use of counseling and other support services
9.9 Direct assistance to employee family members
9.10 Post critical incident reassignment
9.11 Administrative review
9.12 Adjudicating critical incident review board recommendations
9.13 Critical incident review board statistics
Chapter 10 Emergency Provisions
10.1 Inspection of firearms
10.2 Removal of an employee's firearm
10.3 Intoxicated police employees
10.4 Employees with severe behavior or physical problems
10.5 Temporary removal from duty
10.6 Relief from duty
10.7 Temporary non-field and/or non-public contact assignment
10.8 Administrative leave
10.9 Arrest of a police agency employee
Chapter 11 Report Format
11.1 Report outline
11.2 Exculpatory information
Chapter 12 Adjudication
12.1 Role of IAU in the adjudication process
12.2 Adjudication classifications
12.3 Adjudication of an IAU completed investigation
12.4 Adjudication of an investigation prepared by a line unit
12.5 Adjudication report format
Chapter 13 Corrective Actions
13.1 Corrective measures available for sustained cases of misconduct
13.2 Commanding officer's responsibilities in the adjudication report for sustained cases recommending corrective action
13.3 Preparation of the actual charges
13.4 Notice of pre-disciplinary hearing
13.5 Failure of the employee to appear at the pre-disciplinary hearing
13.6 Purpose of the pre-disciplinary hearing
13.7 Format for the pre-disciplinary hearing
13.8 Personal contract alternative in lieu of recommended corrective discipline action
13.9 Cases involving resignation or retirement in lieu of discipline
13.10 Notification to the State for decertification
Chapter 14 Records
14.1 Files to be maintained by IAU
14.2 Access and security of IAU files
14.3 Purging of files maintained by IAU
Chapter 15 Quality Control
15.1 Annual audit of the administrative complaint process
15.2 Internal affairs will audit all completed administrative investigations
15.3 Recording quality control audits
Chapter 16 Quantitative Analysis (reserved for future use)
Chapter 17 Use of Force Reports
17.1 Reporting requirements for the use of force report
17.2 Supervisory responsibility
17.3 Routing of the use of force reports
17.4 IAU responsibility for use of force reports
Chapter 18 Early Identification System
18.1 Criteria for the early identification system
18.2 IAU is responsible for the operation of the early identification system
18.3 Reporting formats
18.4 Responsibility of the employee's unit of assignment
18.5 Approval of supervisory action
18.6 Availability and use of this employee action notice
18.7 Agency statistics
Chapter 19 Beyond training - the trainer's role during administrative investigations
19.1 Trainers role during critical incident investigations
19.2 Trainers status during critical incident reviews
19.3 Trainers role in disciplinary issues
19.4 Trainers role in administrative issues
Chapter 20 The Liability Shield: From Policy to Internal Affairs
by G. Patrick Gallagher
Chapter 21 External Review
21.1 Enabling provisions
21.2 Current models
21.3 Participation
21.4 Common issues
21.5 Essential elements
Chapter 22 Report and Form Samples
22.1 Public Service Report
22.1.1 Notice to person making a Public Service Report
22.2 Investigative Case Control Sheet
22.3 Investigator's Case Activity Log
22.4 Persons to be Contacted Form
22.5 Interview Planning Sheet
22.6 Use of Force Report
22.7 Administrative Investigation Employee Admonishment
22.8 Example of an administrative insight
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Distributed on CD-ROM by the
AELE Law Enforcement Legal Center
First Edition, 1993 - Second Edition, 1998
Copyright 1993, 1998 by Lou Reiter - all rights reserved
Chapter 8 only Copyright 1998 by Sue Carter Collins
Published by:
Lou Reiter and Associates
99 Fort Ave.
Cranston, RI 02905
Tel: (401) 467-9508
Fax: (401) 467-3765
E-mail: LREITER583@aol.com
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