What is the general process that police agencies use to deal with citizen complaints, and what are some of the levels of discipline and sanctions that can be used with officers?

Question

What will be an ideal response?

Answer 1

Most departments have a clearly delineated process for receiving complaints. Generally, a complaint is made at a police facility and is referred to a senior officer in charge to determine the seriousness of the complaint, whether immediate intervention is necessary, the nature of the complaint, and the employee involved. The senior officer will then refer the matter to the employee’s supervisor, who will conduct an initial investigation, make any recommendations as to discipline, and send the matter to the Internal Affairs Unit (IAU) and the agency head to finalize the process.

The preliminary investigation, or fact-finding, is conducted by the employee’s supervisor. If the supervisor determines that further investigation is necessary, the supervisor may question employees and witnesses, obtain written statements from anyone involved in the incident, and gather any necessary evidence. The supervisor must be careful to ensure that the accused officer’s rights are not violated during this investigation.

Once the investigation is completed, the supervisor and/or IAU makes a determination about the accused officer’s culpability and report that determination to the agency administrator for final disposition. Possible dispositions include: unfounded, exonerated, not sustained, sustainable misconduct not based on the complaint, closed, and sustained.

Once a determination of culpability is made, the complainant is notified of the department’s findings and the outcome of the complaint, although not of any details of the investigation or the recommended punishment.

If an officer disagrees with the supervisor’s recommendation for discipline, the officer may appeal the disciplinary measures. The appeal process usually begins with a hearing before the division commander. If the employee is not satisfied, an appeal hearing may be held before the chief executive. In some agencies, an additional appeal before a civil service commission or county or city manager for a final review may be permitted. Employees may also have the right to a review by an independent arbiter.

When an investigation against an employee is sustained, the level of discipline and type of sanction must be decided. Management must be very careful when recommending and imposing discipline because of its impact on the overall morale of the agency’s employees.

Seven common types of sanctions are:
Counseling. This counseling is usually a conversation between the supervisor and the employee about a specific aspect of the employee’s performance or conduct. It is warranted when an employee has committed a relatively minor infraction or when the nature of the offense is such that oral counseling is all that is required. No documentation or report is placed in the employee’s personnel file.
Documented oral counseling. Usually the first step in a progressive disciplinary process, documented oral counseling is intended to address relatively minor infractions. It takes place when the employee has had no previous reprimands or more severe disciplinary action of the same or similar nature.
Letters of reprimand. These letters are formal written notices regarding significant misconduct, more serious performance violations, or repeated offenses. It is usually the second step in the disciplinary process and is intended to provide the employee and the agency with a written record of the violation of behavior. It identifies what specific corrective action must be taken to avoid subsequent and more serious disciplinary action.
Suspension. The step of suspension is a severe disciplinary action that results in an employee being relieved of duty, often without pay. It is usually administered when an employee commits a serious violation of established rules or after written reprimands have been given and no change in behavior or performance has resulted.
Demotion. In a demotion, an employee is placed in a position of lower responsibility and pay. It is normally used when an otherwise good employee is unable to meet the standards required for the higher position or when the employee has committed a serious act requiring that he or she be removed from a position of management or supervision.
Termination. The most severe disciplinary action that can be taken is termination. It usually occurs when previous serious discipline has been imposed and there has been inadequate or no improvement in behavior or performance, but it may also occur when an employee commits an offense so serious that continued employment would be inappropriate.
Transfer. Many agencies use the disciplinary transfer to deal with problem officers. Officers can be transferred to a different location or assignment, and this action is often seen as an effective disciplinary tool.