S134DepartmentalInvestigations ST.pdf

Chapter I

Administration &

Management

Policy #:

S134

References:

103 CMR 924.16 (3)

28 CFR 115.22, 115.34, 115.71-73

ACI: 3-4219

3-ALDF-3C-06

DEPARTMENT

INVESTIGATIONS

Date of Issue:

June 2003

Approved:

Steven W. Tompkins, Sheriff

Effective:

February 2016

Purpose

This policy outlines the procedures covering the operation of the Sheriff’s Investigation Division

(SID) and its role in investigating any and all serious matters affecting the efficient operation of the Department and the safety and security of its employees and inmates.

Policy Statements

I. SID is responsible for investigating allegations of criminal activity or serious staff misconduct within any Department facility or involving property under its control.

II. Supervisors shall be responsible for conducting preliminary inquiries into any actual or alleged incident brought to their attention according to guidelines in this policy.

III. The Department expects all employees to exercise diligence in reporting and reviewing any incidents that occur within their assigned area(s) of supervision

Definitions

Administrative Investigation

An official, formal investigation of a staff member conducted by an SID investigator into an actual or alleged serious incident involving violations of Department policy, state law or regulation.

Criminal Investigation

An official, formal investigation conducted by an SID investigator for which a criminal complaint will be pursued if warranted.

Staff

All employees, contractors, vendors, interns, and volunteers.

Supervisor

Any staff member who oversees or directs the actions of, another staff member(s).

Supervisor’s Inquiry

An official, formal inquiry conducted by a supervisor into an actual or alleged incident involving violations of Department policy, state or federal law or regulation.

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Procedures

I. General Information

A. All Staff

1. All staff, regardless of rank or position, shall be responsible for taking appropriate action and immediately notifying the responsible supervisor of any staff misconduct witnessed or reported (verbally or written).

2. All staff must submit a written report no later than the end of their shift regarding any staff misconduct witnessed, or reported as required under S220, Employee

Code of Conduct, S238, Equal Employment Opportunity, S239, Sexual

Harassment, S241, Prevention of Inmate Sexual Abuse/Harassment, and all other applicable Department policies.

3. Reports must detail a staff member’s specific knowledge of an incident and his/her actions in response to that incident.

4. In order to ensure the validity and authenticity of all reports, no staff shall write a report in consultation with another staff member. Any questions shall be addressed to a supervisor. Supervisors are responsible for keeping involved staff separate after an incident until their reports are accepted or until, at the Shift Commander’s or division manager’s discretion, the separation of staff is no longer necessary to ensure that reports are written independently.

5. A supervisor shall conduct an initial inquiry into the reported misconduct and shall forward his/her findings through his/her Shift Commander or division manager to the AS/OPS, who shall forward it, in turn, to the Superintendent.

6. The Superintendent shall notify the Superintendent in Chief and Sheriff as necessary.

B. SID

1. SID is the internal investigative authority responsible for conducting investigations regarding allegations of serious staff misconduct, criminal activity, and for special assignments as directed by the Superintendents.

2. During the course of an SID investigation, the rank or position of an employee shall not supersede the authority of the investigator.

3. SID shall have full access to all parts of the facilities, to all staff, and to any information needed in the course of an investigation. SID may take any actions needed to conduct an investigation including, but not limited to, ordering written reports, conducting interviews, and releasing staff to return to work.

4. The Shift Commander or division manager shall make available to SID any staff or resources requested, such as making on-duty staff available for interviews, releasing staff to attend court appearances, assigning officers to escort inmates, etc.

5. All investigators will be trained in conducting sexual abuse/harassment investigations (see policy S241), so that SID may promptly, thoroughly and objectively investigate all allegations of sexual abuse or sexual harassment, including third party and anonymous reports.

II. Supervisor’s Inquiries

A. Preliminary Inquiry

1. The responsible supervisor must conduct an immediate preliminary inquiry into all alleged incidents, complaints or unusual occurrences during his/her tour of duty.

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2. The inquiry should include, but not be limited to, obtaining all eyewitness accounts, the proper identification of, and written reports from, all involved parties, pertinent evidence, and all other relevant information. SID shall be notified by telephone during regular business hours (by the duty officer telephone at all other times) of all serious incidents.

3. The responsible supervisor shall document and forward his/her findings to the Shift

Commander.

4. A supervisor’s inquiry may be ordered stopped at any time by the ADS/SID if full investigative authority is then assumed by SID.

5. Any supervisor’s inquiry involving the following shall also require an investigation by SID:

a. criminal misconduct or corruption by an employee;

b. death of an inmate;

c. suicide attempt involving serious injury;

d. sexual misconduct;

e. undue familiarity between staff and inmate(s);

f. use of excessive force (after review and referral by AS/OPS);

g. any use of force incident involving serious injury to staff or inmate(s);

h. discovery of a significant amount or unusual type of contraband;

i. any arrest made by a deputy sheriff;

j. any serious disturbance (including riot, hostage taking, escape or serious escape attempt); and

k. fire or bomb threat (when determined by the Shift Commander to be an emergency situation).

B. Shift Commander’s Duties

1. The Shift Commander shall gather and review all reports and physical evidence collected relative to the supervisor’s inquiry in accordance with S567, Physical

Evidence and, if applicable, S241, Prevention of Inmate Sexual Abuse/Harassment.

2. The Shift Commander must ensure the completeness of all reports and the inclusion of all pertinent details of the incident before accepting and approving reports.

3. The Shift Commander shall compile all information submitted on an incident and submit a summary report that explains his/her knowledge of the incident and any actions taken regarding this knowledge to the AS/OPS before the end of his/her shift.

C. Conclusion of Inquiry

The Superintendent shall determine the credibility of the allegations and direct appropriate action.

III. Administrative & Criminal Investigations

A. Authority for Investigation

In order for an administrative or criminal investigation to be initiated, authorization must first be obtained from the Sheriff, the Superintendent in Chief, the facility

Superintendent, or the General Counsel.

B. Investigation of Complaints

1. All complaints or requests for investigation shall be reviewed upon receipt by the

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ADS/SID, who may refer the matter to the responsible supervisor or assign an investigator(s) to the case.

2. SID investigators may conduct investigations either independent of or together with an outside law enforcement agency.

3. If SID concludes a criminal investigation is warranted, the ADS/SID shall notify the

Superintendent. After consultation with the Superintendent in Chief, the General

Counsel, and the Sheriff, s/he will, as appropriate, authorize notification of the

District Attorney’s Office or other law enforcement agency.

4. Investigators shall ensure that everyone involved in an investigation is informed of the need for confidentiality. Any breach of confidentiality in an investigation may result in disciplinary action, up to and including termination.

5. Upon completing his/her investigation, the designated investigator shall prepare an investigative report for submission to the Superintendent, who shall forward copies, as appropriate, to the Sheriff, Superintendent in Chief, and/or General Counsel.

Notice of the investigation’s results shall be made to the subject of the investigation once the report is accepted and the Superintendent approves.

IV. SID Duty Officer A. Duty Officer Roster

SID shall maintain a duty officer roster and each investigator shall be a duty officer for one (1) full week (Monday 8:00 AM to the next Monday 8:00 AM) in a rotation.

B. Shift Commander’s Duties

1. The Shift Commander shall contact the SID duty officer using the telephone number provided. If the SID duty officer does not respond, the Shift Commander will call the ADS/SID’s cell phone.

2. Contacting the SID duty officer does not relieve the Shift Commander from utilizing his/her chain of command and making other notifications as directed by policy or procedure.

C. Duty Officer’s Responsibility

1. The duty officer shall provide direction to the Shift Commander concerning any investigative matter.

2. If the call is of an emergency nature, or requires immediate attention, the SID duty officer shall report immediately to the facility and initiate a preliminary investigation.

V. Handling Allegations A. All staff shall validate receipt of an allegation by documenting the date of receipt and their initials on the written complaint.

B. All allegations of inmate or staff misconduct shall be forwarded to the Superintendent, who shall determine validity and the need for either a supervisor’s inquiry or a SID investigation.

C. SID will not address complaints regarding classification placement, disciplinary action, appeals, medical treatment, or other operational issues.

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VI. Rights of Staff Under Investigation

A. All staff members have a duty to cooperate fully with an investigation. Failure to cooperate may result in disciplinary action.

B. Prior to any administrative investigation interview, any staff member who is the subject of an investigation shall be advised of the following:

1. the particulars of the allegation(s);

2. that s/he is required, and can be compelled, to answer all questions specifically, narrowly, and directly related to the performance of his/her official duties and his/her conduct as it relates to the allegation and/or the focus of the investigation;

3. that any refusal to provide complete answers to the questions concerning his/her conduct as it relates to the allegation and/or the focus of the investigation and his/her official duties in an interview, when directed to do so, may be considered insubordination and may result in disciplinary action up to and including termination;

4. that a refusal to submit a report or failure to provide complete answers to the questions in the report concerning his/her official duties and his/her conduct as it relates to the allegation and/or the focus of the investigation, when directed to do so, may be considered insubordination and may result in disciplinary action up to and including termination; and

5. that s/he will be entitled to all other rights afforded under the law.

C. In order to maintain the integrity of the investigation and to protect everyone involved, all parties present at the interview must maintain the confidentiality of all information gathered.

D. To the extent that any provision in this policy conflicts with a relevant collective bargaining agreement, said agreement will control.