The Chief’s Guide to Internal Affairs

 

Manual written by Attorney John M. Collins

of the Municipal Police Institute, Inc.

© 2001

 



Preface

 

This updated version of the Internal Affairs manual will be helpful to virtually every chief, regardless of the size of the department.  From time to time, they will be confronted with the need to conduct an internal affairs investigation. 

 

The area of internal affairs investigations is growing increasingly complex.  This manual attempts to review many of the most common issues confronting chiefs and internal affairs investigators.

 

It is clear that every chief needs to assign, train and support the best qualified officers to the Internal Affairs unit or function.  This should be an essential step in the career path of every officer that shows potential for department leadership.

 

The community policing philosophy depends on the integrity of the police department.  If the public lacks confidence in the agency’s ability and commitment to investigate and prosecute officer misconduct, there is little hope for successful partnerships and problem-solving.

 

                                                Chief John A. Ford, Jr. (Bourne)

President, Massachusetts Chiefs of Police Association, Inc.

 


Forward

 

Only a small percentage of police departments in this state have even one full-time officer assigned to internal affairs.  This means that for most departments, the task of investigating allegations of officer misconduct falls to the chief or other officer that lacks the same level of experience, if not training, of full-time IA investigators.  This manual is written to help all persons conducting IA investigations to understand the basic legal and practical issues involved.  The “Practice Pointers” (in italics) throughout the entire manual are a great source of common sense advice.  As with all evolving areas of the law, consultation with municipal counsel and the offices of the District Attorney, Attorney General and U.S. Attorney is recommended.

 

When it comes to giving advice to all municipal departments, there is no such thing as “one size fits all.”  Chiefs are encouraged to adapt sample policies, procedures and forms to fit their department’s needs.

 

This manual was written by Attorney John M. Collins of the law firm of Collins & Weinberg of Shrewsbury.  Jack Collins is the General Counsel of the Massachusetts Chiefs of Police Association and its private, non-profit, charitable research and training affiliate, the Municipal Police Institute (MPI).  Desktop publishing was done by Cheryl A. Lott and Dawn Dansereau.  Graphic art for the cover as well as the parts of the presentation for the accompanying seminar were provided by Michael J. Collins.

 

Chief George J. DiBlasi (Ret.)
Executive Director

 



Introduction

 

One area of law enforcement that is only recently receiving the kind of attention it deserves is ethics.  We are just beginning to recognize the values of character and ethical decision-making in developing a healthy police agency.  Crucial to this new approach is a coherent and effective system of discipline.  We must start to reemphasize the teaching rather than simply the punitive aspect of discipline.

 

The discipline system used by most police departments as we start the 21st Century resembles the one that has been used with generally poor results for decades.  Some people define insanity as doing the same thing over and over and expecting a different result.  It takes more than changing the catch words to bring about fundamental changes.  Observers on both the management and union “side” often view the phrase “progressive discipline” as an oxymoron.  The most regrettable part is that we really know how to improve things.

 

The challenge is to police ourselves in a way that officers, government officials and the public are all confident is fair and effective.  Rarely do any of these parties have confidence in the present system.  An essential first step involves an effective internal affairs function that can be counted on to investigate complaints impartially and thoroughly.  Other related improvements in the recruitment, selection, periodic evaluation and training of officers must be implemented as well.  Similarly, refocusing the role of supervisors, making them coaches, mentors and role models, and giving them the responsibility and authority to implement minor corrective measures, should be a part.

 

The day will come when everyone will recognize that the imposition of a suspension or discharge is most likely an indictment of the failure of all parties, rarely just the individual officer.

 

In preparation for drafting this manual, numerous internal affairs seminars or conventions were attended.  Meetings with IA officers from around the country (and even internationally) were held in a variety of settings.  As a group, often these officers are among the finest and most dedicated in their agencies.  When given the tools and freedom to do their jobs, IA officers are capable of and committed to uncovering the truth and, where appropriate, presenting a credible case in disciplinary hearings.  They do not need more oversight from citizen commissions or more second-guessing from politicians.  They need and want what all professionals in law enforcement do:  training, equipment, leadership and management’s support.

 

We have to start somewhere.  The day will come when all parties will appreciate the pivotal role IA plays in maintaining a healthy police agency.  All chiefs should support their department’s IA personnel.  Smaller departments should train one or more officers to perform internal investigations.  The Training Council should consider offering a basic IA course.  Its recent emphasis on ethics and moral decision-making is commendable.  Regular in-service refresher courses are also essential in this area. 

 

                                                                                                Jack Collins

 

 


Table of Contents

 

Chapter 1 - Sample  Policy & Procedure. 1-1

I. General Considerations and Guidelines. 1-1

II. Policy. 1-3

III. Procedures. 1-3 

Complaint Procedures. 1-3

Complaint Report Form.. 1-3

Receiving and Recording Complaints. 1-4

A.    General Procedures. 1-4

B.     In Person Complaints. 1-5

C.    Telephone Complaints. 1-6

D.    Complaints Received By Mail 1-6

E.     Departmental Complaints. 1-6

F.     Complaints By Prisoners Or Arrestees. 1-6

G.    Complaints From Governmental Agencies. 1-6

H.    Street Complaints. 1-6

I.      Verification of Receipt 1-6

Investigative Procedures. 1-9

1.     Categories of Complaints. 1-9

2.     Immediate Resolution of A Complaint 1-9

Investigation of Complaints. 1-10

Preliminary Investigations. 1-10

Confidentiality of Internal Affairs. 1-18

Liaison With District Attorney. 1-18

Annual Report 1-18

Chapter 2 - Interrogating Employees. 2-1

I. The Rules. 2-1

Federal Rule. 2-1

Massachusetts Rule. 2-1

IV. Federal Cases. 2-1

III. Massachusetts Cases. 2-2

IV. Other States’ Cases. 2-2

V. Compelling Answers. 2-2

Threat of Discipline. 2-3

Limited Scope of Questions. 2-3

Advised of Immunity. 2-4

VI. Immunity. 2-4

Sources of Immunity. 2-4

Court-Granted Immunity. 2-5

Automatic Immunity. 2-5

“Compelled” Police Reports. 2-7

Other Uses of Compelled Statements. 2-8

Immunity For Federal Crimes. 2-10

VII. Questioning Officers About Off-Duty Conduct 2-12

Privacy and Off-Duty Conduct 2-13

Privacy Rights Theories. 2-14

Off Duty Sexual Misconduct 2-14

Types of Conduct Prohibited. 2-15

Adultery. 2-15

Removal Not Justified. 2-17

Consorting With Prostitutes. 2-18

Relations With Minors. 2-19

Sex By Intimidation. 2-20

Sexually Deviant Behavior. 2-20

Transvestite Behavior. 2-21

VIII. Conduct Unbecoming An Officer 2-22

The Law.. 2-22

Void For Vagueness. 2-23

Right To Privacy. 2-25

IX. Right To Union Representation At An Investigatory Interview.. 2-28

The Weingarten Rule. 2-28

The Weingarten Rule In Massachusetts. 2-29

The Weingarten Rule In Other States. 2-30

The Role of The Union Representative. 2-31

The Right To Legal Counsel 2-33

Liability For Improper Investigations. 2-34

Chapter 3 - Discovery of Internal Affairs Files. 3-1

I. Public Records. 3-1

Exemption (C) 3-4

First Clause. 3-4

Second Clause. 3-5

Unresolved Allegations. 3-6

Resolved Allegations. 3-6

Exemption (F) 3-7

Other State’s Decisions. 3-9

II. Discovery of Privileged Documents. 3-10

Sensitive Investigative Techniques. 3-13

Practice Pointers. 3-13

III. Disclosure In Massachusetts Criminal Cases. 3-14

Rule Changes Proposed. 3-14

Records Not In Prosecutor’s Possession. 3-14

Statements of Percipient Witnesses. 3-15

Other Ia File Material 3-15

Statements of Reluctant Witnesses. 3-15

IV. Discovery In Federal Criminal Cases. 3-16

V. Discovery In Civil Cases. 3-17

Civil Rights Suits. 3-20

Unfairly Prejudicial Evidence Excludable. 3-22

Evidence of Prior Bad Acts Is Inadmissible. 3-24

Inadmissible Hearsay. 3-25

VI. Discovery In Disciplinary Cases. 3-27

Chapter 4 - Employee Searches. 4-1

I. Drug Testing. 4-1

Constitutional Considerations. 4-1

Massachusetts Rule. 4-3

Drug Testing and State Laws. 4-4

Drug Testing – Reasonable Suspicion. 4-4

Drug Testing - Collective Bargaining. 4-5

Drug Testing Procedures. 4-5

II. Searches and Privacy Rights. 4-6

Desks, Lockers and File Cabinets. 4-6

Private Property In The Work Space. 4-9

Searches of Officer’s Person and Residence. 4-9

Searches - Collective Bargaining. 4-10

III. Disclosure of Records. 4-10

IV. Financial Records. 4-11

        Financial Disclosure – Collective Bargaining. 4-13

Medical Records. 4-13

Medical Records – Collective Bargaining. 4-14

V. Illegally Seized Evidence. 4-14

The Rule. 4-14

The Law.. 4-15

Balancing Test 4-15

Deterrent Effect 4-16

Aware Suspect Is Police Officer. 4-17

Societal Cost 4-18

Massachusetts Cases. 4-19

VI. Polygraph Testing. 4-19

Statutory Provisions (M.G.L. C. 149, § 19b) 4-20

The Law Enforcement Exception. 4-20

Criminal Investigations. 4-21

Sanctions. 4-21

Immunity From Prosecution. 4-22

Collective Bargaining. 4-23

Chapter 5 - Early Intervention System.. 5-1

Beneficial Aspects. 5-1

Rationale For Eis. 5-2

Role of Supervisor. 5-2

Documentation and Reporting. 5-3

Documentable Events. 5-3

Union’s Role. 5-3

II. Policy. 5-5

III. Procedures. 5-6

IV. Evaluations. 5-7

Chapter 6 - Conducting Investigations. 6-1

I. Preliminary Evaluation. 6-1

II. Strategy. 6-2

Review Existing Materials. 6-2

Organize The File. 6-3

Pre-Interview Checklist 6-3

Interviewing Accused Officers. 6-5

Assembling The Report 6-5

Cover Letter. 6-5

Complaint Form and Analysis. 6-5

Report Summary. 6-6

Investigation Sequence. 6-6

Evidence. 6-6

Reports and Analysis. 6-6

Photographs. 6-6

Interviews. 6-6

Background Checks. 6-6

Medical Reports. 6-7

Police Reports. 6-7

Media Reports. 6-7

Additional Material 6-7

Chapter 7 - Adjudication. 7-1

I. Disposition Classification. 7-1

II. Supervisory Review.. 7-1

III. Adjudication Report 7-2

Chapter 8 - Use of Force Investigations. 8-1

I. Incidents Covered. 8-1

II. Procedures. 8-1

IA Investigation. 8-3

Deadly Force. 8-4

Non-Deadly Force. 8-4

Chapter 9 - Domestic Violence Investigations. 9-1

I. Restraining Orders. 9-1

General Concerns. 9-1

Suspension and Surrender Orders. 9-1

Hearing To Lift The Suspension and Surrender Order. 9-2

II. Federal Firearms Disabilities. 9-3

Law Enforcement Officers. 9-3

Misdemeanor Crime of Domestic Violence. 9-4

Expungement Or Pardon. 9-4

Partial Restoration of Civil Rights. 9-4

On and Off-Duty Covered. 9-5

Massachusetts Crimes Covered. 9-5

Convictions. 9-5

Not An Ex Post Facto Law.. 9-5

Civil Liability. 9-7

Collective Bargaining Implications. 9-8

Survey Recommended. 9-9

Department’s Response. 9-12

Police Not Exempt 9-12

Domestic Violence Definition. 9-12

Certain Convictions Included. 9-12

No Appeal Procedure. 9-12

Dealing With Firearms Disabled Officers. 9-17

Discipline of A Police Officer Who Is Prohibited From Carrying A Firearm.. 9-17

Constitutionality. 9-17

Just Cause. 9-18

Interference With Contractual Rights. 9-18

Chapter 10 - Public Statement Investigations. 10-1

I. Public Criticism of The Department 10-2

The Law.. 10-2

Balancing of Interests. 10-3

Public Concern Analysis. 10-3

Not A Matter of Public Concern. 10-4

Matters of Public Concern. 10-4

Misconduct 10-5

Unsafe Working Conditions. 10-6

Incompetence. 10-6

Harassment Or Discrimination. 10-7

Compelling Need and No Less Restrictive Means. 10-7

Causation. 10-8

Damage Awards. 10-9

II. Disparaging Remarks. 10-12

III. Courtesy. 10-13

IV. Rule Making. 10-15

The Overbreadth Doctrine. 10-15

The Vagueness Doctrine. 10-16

The “But For” Test 10-17

A Case Study. 10-17

V. Protected Union Speech. 10-22

Case Studies. 10-22

Criticism of Chief - “No Confidence” Vote. 10-26

Criticism of Department 10-26

VI. Whistleblowing. 10-27

Massachusetts Law.. 10-28

Retaliation. 10-28

Employer Liability. 10-29

Model Whistleblowing Notice. 10-29

What Is Whistleblowing?. 10-30

What Constitutes Retaliation?. 10-30

Complaints. 10-31

Chapter 11 - Sexual Harassment Investigations. 11-1

Historical Perspective. 11-1

II. Federal Statute. 11-2

III. State Statute. 11-2

IV. Eeoc Guidelines. 11-2

V. Prima Facie Case. 11-3

Protected Group. 11-4

Same Gender Harassment 11-4

“Unwelcome” Sexual Conduct 11-4

Quid Pro Quo. 11-5

Sexual Favoritism.. 11-5

Hostile Environment Cases. 11-6

Single Incidents. 11-8

Unwelcome Sexual Contact 11-8

Quid Pro Quo Cases. 11-8

Hostile Environment Cases. 11-8

Prior Consensual Sexual Relationship. 11-9

Assessing If Conduct Is Unwelcome. 11-9

Effect On Employment 11-10

Respondeat Superior. 11-11

Employer’s Knowledge. 11-11

Position of Harasser. 11-12

Form of Harassment 11-12

Quid Pro Quo Cases. 11-13

Hostile Work Environment Cases. 11-14

Co-Workers. 11-14

Individual Liability. 11-14

Non-Employees. 11-15

Employer Defenses. 11-15

Grievance Procedures. 11-15