HomeMy WebLinkAbout17 - Review of Liability Exposure IssuesCITY OF NEWPORT BEACH
POLICE DEPARTMENT
December 14, 1998
December 14, 1998
Agenda Item No. 17
TO: Honorable Mayor, Members of the City Council and City Manager
FROM: Bob McDonell, Chief of Police
SUBJECT: Review of Liability Exposure Issues
RECOMMENDATION:
Receive and file.
BACKGROUND:
Attached is a report prepared by Lieutenant Doug Fletcher which reviews our
liability exposure over an extended period of time, in addition to examining a
variety of issues which may have impacted the data in a positive or negative
manner. Lt. Fletcher began preparing an internal report a number of months ago
at my request, as part of an ongoing assessment of our efforts to manage our
liability exposure in the Police Department. The report was also intended as a
natural follow -up to the implementation of our Mobile Video System. As Lt.
Fletcher began to research the data from the City's Risk Manager and Claims
Adjuster, it became clear the focus of the report needed to be broadened in
order to identify all of the factors which may impact the liability issue. During the
final stages of the report preparation, former Councilman Hedges requested the
matter of police related liability be agendized for the full Council to consider. The
request was intended to insure Council was fulfilling their oversight responsibility
as raised in a lawsuit arising from an incident occurring in the late 80's. During
those proceedings, several Council Members were required to testify, including
Councilman Hedges. I believe this report addresses the issues/concerns
expressed in his request.
Also included with this report, is our revised Pre - Claims Investigation Policy and
Procedure as prepared by our Police Legal Advisor, Lieutenant Mike Hyams and
approved by the City Attorney's Office, with input from the City's Risk Manager.
The latter report makes revisions to a procedure (which has been in place for
many years in the Police Department), that attempts to anticipate potential
claims for damages and outlines investigative steps to preserve evidence and
place the City in a favorable position to respond in the event a claim is actually
filed.
Review of Liability Exposure Issues
Page 2
While Lt. Fletcher's report is self explanatory, it is important to point out that it
would be highly unlikely to avoid all liability exposure or personnel investigations
alleging police misconduct in a given year, based on the nature of the work we
perform. Our personnel are engaged in making literally thousands of arrests per
year and dealing with a variety of other negative contacts and highly volatile
situations. As a result, it would be unrealistic to assume that the potential does
not exist for at least a percentage of those individuals to feel aggrieved to the
point of filing a claim for damages or alleging police misconduct, or to do so in an
effort to bolster their defense.
Overall, the Department has made significant efforts to limit the City's liability
exposure through the implementation of our Mobile Video System, our high level
of training, and most importantly, by the quality and competence of those
employees hired to serve this Community. Over the last five years, we have
seen a significant reduction in the liability dollars attached to the number of paid
claims (the only exception being the year impacted by the out of court settlement
of the Calabrese case). There has also been a corresponding reduction in the
number of personnel investigations and administrative inquiries which were
required. We intend to continue to monitor our progress in that regard, and do
all we can to insure the risks inherent in a law enforcement environment are
minimized.
Respectf submitted,
9°—
Bob McDonell
CHIEF OF POLICE
0
CITY OF NEWPORT BEACH
POLICE DEPARTMENT
October 28, 1998
To: Bob McDonell, Chief of Police
From: Doug Fletcher, Lieutenant, Executive Officer
Subject: Analysis of Liability Factors
INTRODUCTION
The purpose of this report is to identify and examine some of the major
indicators and considerations bearing upon the general subject of liability as it
relates to police operations. From the outset, it is important to point out that
there is no escape from liability exposure related to police operations. The very
nature of our work, involving thousands of arrests and other negative contacts
per year, will most certainly generate claims /complaints of one form or another.
This report identifies several of the factors which impact our exposure and
attempts to present a reasonable interpretation of the meaning of the hard
information available. It must be recognized that broad, sweeping conclusions
may not be appropriate due to the individual nature of each liability situation.
Changes in policy or management approach may also bear upon the information
presented in this report. In this report, I will attempt to place some of these
factors in proper perspective.
This report is also intended to serve as the foundation of an on -going analysis of
the indicators referenced herein. This report was originally submitted in
September of this year. Since that time, discussions have taken place and
revisions have been made, with a view toward better coordinating the efforts of
the Police Department, the Risk Manager and the City Attorney in the processing
of claim information. A separate staff report, prepared by Lieutenant Mike
Hyams outlining a proposed revision to our interdepartmental claims
investigation policy, accompanies this report.
DISCUSSION
In the process of identifying those factors relating to the subject of police liability
for which solid information exists, my focus fell upon the following subjects:
attorney fees and paid claims, personnel investigations, and administrative
inquiries. The latter two processes involve methods of conducting internal
investigations that will be discussed in greater detail under their individual
headings.
Analysis of Liability Factors
Page 2
The implementation of a mobile video system at the beginning of 1996 is a factor
that, I believe, has already had a demonstrable impact on the liability exposure of
the Police Department. This will likewise be discussed later in this report.
Attorney Fees and Paid Claims
The following table describes police - related claims paid out from fiscal year
1991/92 through 1997/98 (as of the date of this report). Also included are
attorney fees related to the defense of these claims. The following amounts
represent the full spectrum of claims against the City resulting from police
operations, including but not limited to: traffic collisions, property lost or
damaged, personal injuries, etc.
Fiscal Year Attorney Fees Paid Claims Total
1991/92 $651,265 $610,799 $1,262,064
1992/93 $1,122,584 $482,007 $1,604,591
1993/94 $6,529 $44,906 $51,435
1994/95 $38,800' $115,872' $154,672'
1995/96 $37,875 $21,296 $59,171
1996/97 $45,078 $24,306 $69,384
1997/98 $0 $8,103 $8,103
All costs for attorney fees and $97,200 in paid claims costs are related to the Calabrese case.
The City's liability claims are classified into three payment categories: Auto
Claims (traffic collision damage and injury), Bodily Injury & Property Damage,
and Personal Injury (false arrest, civil rights violations). The following table
represents that breakdown:
Fiscal Year
Auto
BI /PD
PI
Total
1991/92
$87,508
$619,598
$554,958
$1,262,064
1992/93
$136,666
$4,470
$1,463,455
$1,604,591
1993/94
$43,517
$5,919
$1,999
$51,435
1994/95
$14,804
$139,868
$0
$154,672
1995/96
$13,189
$8,107
$37,875
$59,171
1996/97
$40,821
$28,563
$0
$69,384
1997/98
$5,943
$2,160
$0
$8,103
While no trends are readily apparent in the above numbers, it bears noting that
the large attorney fee and claim figures for 1991/92 and 1992/93 reflect the costs
of sexual harassment litigation in progress during that period. The larger -than-
usual figure for 1994/95 is due to the settlement costs of the Calabrese case that
originated during that fiscal year but reached settlement last year. The latter (out
of court) settlement represented 88% of the total costs for the year.
During the mid- 1980's, a process was developed to ensure the preliminary
investigation of incidents which may lead to liability exposure. This process has
Analysis of Liability Factors
Page 3
become known as a "Pre- Claims ". The pre - claims process is typically initiated by
the supervisor in charge of police operations at a particular incident when it
becomes apparent that a claim against the City may result. Depending upon the
nature and seriousness of the incident, the responsible supervisor performs
some or all of the following tasks: collects relevant reports and documents,
places holds on radio and /or MVS tapes, identifies and /or interviews witnesses
or involved employees, prepares summary reports, and takes any other steps
deemed necessary and prudent. The materials are assembled and forwarded
along with a checklist/face sheet to the division commander for review. The pre -
claims package is then forwarded to the Executive Officer for logging and
retention. In the event a claim against the City is filed, this package serves as
the starting point for a more comprehensive investigation.
Since no formal arrangement has existed to ensure the transmittal of pre - claims
information from the Police Department to the Risk Manager and the City
Attorney, a policy has been formulated for that purpose. An accompanying
report by Lieutenant Mike Hyams describes that policy.
In the event of an exceptionally serious situation, the Administrative Investigation
Team (AIT) may be deployed. When activated, the AIT is commanded by the
Executive Officer and reports directly to the Chief of Police. In most instances,
the AIT prepares reports for use by the City Attorney. In addition to the
Executive Officer, the team consists of the Legal Advisor, the Professional
Standards Sergeant and a small group of supervisors from other divisions
selected for this assignment based upon demonstrated maturity, dependability
and investigative expertise.
Personnel Investigations
Personnel investigations may be defined as formal inquiries into allegations of
misconduct for which disciplinary action may be imposed. The figures below
reflect the number of personnel investigations conducted during the period of
1987 to the present. Those investigations are initiated based upon external
complaints from the public or internal reviews of performance or violations of
Department policy or procedure. Approximately 44% of the personnel
investigations initiated over the past 7 years, have been as a result of that
internal audit, which is one measure of the level of supervisory review which is
ongoing.
Total
Com laints
# Sustained*
Complaints Originated
Externally
Internal)
1987
73
**
**
**
1988
70
**
**
**
1989
76
**
**
**
1990
56
1991
75
Analysis of Liability Factors
Page 4
1992
76
37
37
39
1993
51
18
21
30
1994
28
11
19
9
1995
27
12
17
10
1996
20
2
18
2
1997
11
5
7
4
1998
1 13 (to date )
1 3
1 8
1 5
`None of the sustained complaints involved excessive force.
"Breakdown of data unavailable.
An examination of the number of personnel investigations initiated each year
since 1992 indicates a significant, steady drop. The dramatic decrease in the
number of personnel investigations initiated in 1992 and 1993 as compared to
succeeding years is due in large measure to the hiring of a new Chief of Police
and the introduction of a new management philosophy. It may also reflect a
turbulent and unsettled transition period as the department passed from one era
in its organizational life to the next.
Another factor that may impact this downward trend is the increasing age of our
workforce. Along with advanced age usually comes experience and maturity.
These two qualities are of inestimable value in learning how to avoid and
manage situations that often lead to personnel complaints or claims. On a less
positive note, age and experience may also lead to a lower level of self- initiated
enforcement activity. If one accepts the premise that a certain percentage of
complaints and claims arise from enforcement activity, then it is reasonable to
conclude that fewer enforcement contacts will result in a lesser number of
complaints or claims.
The implementation of the mobile video system at the beginning of 1996 may
have had an impact on the minor decrease that year - a trend that appears to be
continuing.
In an effort to ensure that the Chief of Police is kept apprised of the progress of
personnel - related investigations, an 'Investigation Status Report" is prepared by
the Executive Officer in advance of each Tuesday staff meeting. In attendance
at these meetings are the Chief of Police, all Captains, the Executive Officer and
the Legal Advisor. The Chief of Police is briefed on the status of each personnel
investigation, administrative inquiry and claim investigation.
Administrative Inquiries
Administrative inquiries may be described as inquiries of a less formal nature
that are regarded, at their initiation, as not likely to result in disciplinary action.
Administrative inquiries may be initiated as the consequence of the individual
acts of employees, complaints regarding department policies, or any other
l r,
Analysis of Liability Factors
Page 5
situation about which the Police Department has received a complaint; the
investigation and resolution of which should be documented.
1992-47
1993-85
1994-51
1995-50
1996-27
1997-28
1998 — 22 (as of date of report)
As with personnel investigations, circumstances that might trigger an
administrative inquiry underwent redefinition with the change in departmental
leadership in 1993. The change of emphasis for inquiries deemed to be of a
minor nature is evident in the near reversal of the ratio of personnel
investigations as compared to administrative inquiries during the years 1992 and
1993. Since 1993, we have witnessed a steady decrease in the number of
administrative inquiries.
In regard to the relationship between the number of administrative inquires and
the advent of the mobile video system, a significant drop is seen to occur during
the year the mobile video system was implemented.
Mobile Video System
During the early months of 1994, research began into the feasibility of
implementing a mobile video system in the department's marked patrol units.
After extensive staff work, the system was implemented in January of 1996. In a
staff report that recommended implementation of the program, Captain Tim Riley
identified as likely benefits the reduction of civil liability, the reduction of
personnel complaints and the promotion of positive public relations.
In addition to reducing the number of complaints and the dollar amount of claims
paid, another anticipated benefit was the use of the mobile video system as a
resource in the investigation of complaints and claims. The following table
reflects the number of investigations in which the mobile video system made
some significant contribution.
Year
Type of Investigation
# of Invest
MVS a Factor
1996
Personnel Invest
20
2
1996
Admin Inquiry
27
2
1997
Personnel Invest
13
2
1997
Admin Inquiry
28
3
1998
Personnel Invest
12
1
1998
Admin Inquiry
22
1
Analysis of Liability Factors
Page 6
The mobile video system has now been in effect for almost three years. While it
is difficult to conclude with statistical certitude that positive results have been
achieved in the identified areas, a number of incidents may be recounted that
serve to illustrate the beneficial aspects of the system.
In one instance, a vehicle pursuit was initiated after a robbery occurred at a
business in Newport Beach. When the pursuit briefly stopped, two of our officers
approached the suspect vehicle and attempted to take the suspect into custody.
Instead of submitting to arrest, the suspect turned his vehicle in the direction of
one of the officers and accelerated. The officer responded by firing his weapon,
wounding the suspect. The suspect continued to flee and was later taken into
custody. During subsequent investigation of the shooting, the mobile video
footage of the incident was invaluable in creating an objective record of what
occurred. It was not necessary to rely solely upon the officers' recollection of a
dangerous, rapidly unfolding, highly charged event. Nor was it necessary to
depend entirely upon witness statements. In fact, the mobile video captured
subtleties that almost certainly would not have been noticed by human
witnesses. As a result, the video footage was very helpful to District Attorney
investigators in determining that the officer's decision to fire his weapon was
appropriate.
In another incident, a young man was arrested for being drunk in public following
an altercation. The young man was able to convince his father that he was not
drunk and had consumed only one beer when he was unfairly arrested. When
the young man and his father arrived at the station, mobile video footage
demonstrated that the young man had been far less than candid with his father.
It is my understanding that supervisors currently assigned to the Patrol Division
have periodic occasion to use mobile video footage to similar advantage.
In yet another incident, the mobile video system played a dramatic and decisive
role in countering a false accusation of sexual assault leveled by a female
drunken driving suspect against the arresting officer. In this case, the drunk
driver made her allegation to a friend who, in turn, contacted the police
department. When the friend arrived at the police station, he made it clear that
he believed the allegation and would not be easily persuaded that the incident
did not occur as told to him by the female. When allowed to view the mobile
video footage, the friend immediately realized that the incident could not have
possibly occurred in the way that it had been related to him. Prior to leaving the
station, the man apologized to all involved for having believed what he now
realized was a false allegation. He promised to contact anybody to whom he
had repeated the story for the purpose of setting the record straight. He also
confronted the accuser who subsequently admitted to a department investigator
that she had fabricated the story.
C6
Analysis of Liability Factors
Page 7
In the foregoing case, it is impossible to estimate how far this allegation might
have gone or how much money might have been spent defending against a false
allegation. Even if a dollar amount could be guessed at, it would not take into
account the embarrassment suffered by the City and the Police Department, nor
could it possibly quantify the emotional and personal damage that would have
been suffered by the falsely accused officer.
Our experience to date with the mobile video system has been something of a
qualified success. While we may point to incidents such as those described
above; there have been some problems. As may be expected, with technology
of this complexity we experience occasional equipment problems and failures,
sometimes occurring at inopportune moments. When this happens, we face the
potential problem of being required to explain why a particular incident was not
recorded. The burden of proof may then fall upon us to prove that the
equipment actually failed and that the officer was not selectively recording
positive footage or failing to record negative.
We have also experienced some difficulties in the enforcement of those
provisions of the mobile video policy that require officers to activate the mobile
video system. While most officers readily understood the benefits of the system
and embraced its use, others have had difficulty adapting. As a result, some
incidents have come to our attention in the form of claims against the City and /or
personnel complaints in which encounters were not recorded. Fortunately, these
incidents have been few in number and we have experienced no adverse
consequences with the exception of investigation time that might not have been
necessary had the mobile video system been used as required by policy. To
date, efforts to encourage use of the mobile video system have been positive in
nature. However, a recent investigation into a complaint of misconduct by an
officer resulted in the officer's conduct being exonerated but also resulted in a
finding that the officer violated policy by failing to use the mobile video. This is
the first instance of formal discipline resulting from failure to comply with this
policy. In general, Officers have embraced the use of the equipment as
verification of the high level of professional service provided to this Community.
TRAINING
I believe that another important factor in limiting police liability is an effective
training program. In recent years, the Department has placed a greater
importance on regular training with particular emphasis on tactical, firearms and
self- defense training. This approach serves to limit liability. Officers who have
been properly trained are more likely to employ proper tactics. Since use of
improper tactics is a major factor in findings of liability against police agencies,
this approach is most appropriate.
Analysis of Liability Factors
Page 8
CONCLUSION
The factors described in the preceding narrative are the most valid indicators of
trends in the area of liability considering the hard information available to us.
While it is difficult to draw solid conclusions from such numbers, I believe that an
on -going review of these factors will aid in determining whether or not efforts to
limit liability are meeting with success.
From a common -sense point of view, I believe that our liability exposure is most
effectively mitigated through an intelligent combination of leadership, discipline,
training and technology.
Rev. 11/30/98
City of Newport Beach
Police Department
October 28, 1998
To: Chief of Police
From: Professional Standards
Subject: Preliminary Claims Investigation Process Revision
RECOMMENDATION
In order to enhance our ability to respond to employee involved incidents involving
potential liability, I recommend we implement the following items.
1. Adopt the below revised preliminary claim investigation procedure when a person
suffers serious bodily injury as a result of contact with NBPD personnel.
2. Forward copies of new pre - claims to our Risk Manager and e-mail a monthly
summary list of those sent.
3. Conduct refresher training for our supervisors regarding risk management and
conducting preliminary claims investigations.
DISCUSSION
Our employees are occasionally involved in incidents in which there may be claims of
City liability. When this occurs, our current practice is to conduct either a pre - claims or
an Administrative investigation. For most incidents, we conduct a routine pre -claim
investigation. For serious incidents involving our personnel that result in the death or a
life threatening critical injury to another, we require the call out of our Administrative
Investigation Team (AIT), who conduct a very formal investigation. Rarely is a claim
filed against the City where we have not conducted a pre -claim or AIT investigation.
Nevertheless, while some incidents are not serious enough to require a call out of the
Administrative Investigation Team, bodily injuries sometimes occur that are of such
severity that a more formal, structured and thorough preliminary claim investigation
should be conducted.
We should continue to conduct pre - claims investigations for most incidents, and call out
the Administrative Investigation Team when required, per our current policy and
practices. In the future, we should conduct a third type of preliminary claim investigation
Pre - Claims Revision - Page 2
when it involves a serious bodily injury. This report discusses our current practices and
recommends revised procedures.
Our Current Practices for Pre - Claims Investigations
Pre -claim investigations are typically completed when our contact results in a non -life
threatening injury to a person, damage to property or there are indications that someone
may file a claim or complaint for a perceived violation of their civil rights.' The
overwhelming majority of pre - claims never result in further action.
The extent of a pre -claim investigation is dependent upon the nature of the event. A
pre -claim investigation may consist of:
• gathering all reports
• gathering or requesting a hold on all radio, video and audio tapes
• identification and /or interview of witnesses
• interview and /or documentation of potential claimant's possible allegations
• recording of environmental conditions
• photographs or collection of evidence where necessary
• completion of a cover sheet
• written statements by employees of their observations or actions, when warranted
• completion of a summary report by the investigating supervisor when warranted
We will still conduct this type of pre -claim investigation for most incidents. However,
when serious bodily injury is involved, we will conduct a more formal and structured
investigation as described later in this report.
How a Pre - claims Investigation is Currently Processed and Who is Notified
Most incidents that require a pre - claims investigation come from Patrol Division
activities. The investigations are usually completed by on duty supervisors, all of whom
have experience in conducting investigations and are expected to recognize the need to
complete the particular investigation. Also, the Executive Officer and members of the
Professional Standards Unit are aware of serious events involving Department
personnel, and verify that at minimum, a pre - claims or other necessary investigation is
completed for those events. Once an investigation is completed, it is either reviewed by
the Watch Commander or sent directly to the Division Commander. Finally, the pre-
' NBPD Manual section 3/905 "Risk Management" provides: "Police Department employees and the City
are, on occasion, exposed to the possibility of civil liability based upon acts or omissions that occur in the
course of routine police activities. Newport Beach Police Department employees should, whenever
possible, take reasonable and appropriate action to eliminate or minimize the risk of liability and to protect
the interests of the City of Newport Beach and its employees."
Pre - Claims Revision - Page 3
claim is sent to the Executive Officer for storage pending the filing of a claim, suit or
personnel complaint 2
Usually, if no further action is instigated by the potential claimant, the Department takes
no additional action. Indeed, our current pre -claim investigation process already more
than satisfies the purposes of the six month statutory requirement for the filing of claims
against a municipality. The requirement that claims be filed within six months from the
occurrence of an event is designed to "enable the governing body to investigate and
inform itself of the merits or demerits of a claim while evidence is still fresh and
witnesses available." While some pre - claims are more thorough than others, our initial
investigation is usually sufficient to determine whether or not we have exposure, or if
additional investigation is needed.
In some cases the Department has contacted the City Attorney's office and
recommended our risk manager and claims adjuster attempt to compromise and settle
any potential claim, well before any claim is actually made. This is most typical where
there is damage to property by our officers, or canine bites.3 Even though no claim is
filed, or even where there is no expressed intention to file a claim, compromise efforts
may be good prevention if the potential claim could be costly to defend, or has serious
liability potential. Most of the time, such non - routine cases are apparent because they
are the kinds of cases that receive publicity and notoriety within the Department and
City. In any event, we conduct a thorough and formal claims investigation upon the
actual filing of any claim, and these reports are necessarily forwarded to the City
Attorney's office.
However, there is still some possibility that a "settlement worthy" case or a case of
higher liability potential may escape review unless a claim is actually filed, or that
needed pre -claim additional defense investigation may not be completed. Of course,
2 When the claim investigation reveals misconduct, a personnel complaint is initiated. If the personnel
investigation reveals potential misconduct that may sustain a criminal filing, we submit the reports to the
Office of the Orange County District Attorney for review.
3 NBPD Manual 3/916 .CLAIMS ASSISTANCE" provides: 'Whenever any employee becomes aware of
an instance in which a citizen appears to have unfairly suffered a loss (property damage, improperly
towed vehicle, etc.) due to the acts or omissions of a police employee, and it is apparent that the proper
course of action would be to assist the citizen in obtaining compensation, the following procedure should
be followed:
• Complete an Employee's Report detailing the circumstances of the incident.
• Submit the report to the reporting employee's immediate supervisor or, if unavailable, to the
Patrol Division Watch Commander. The supervisor shall conduct an inquiry and determine if
immediate resolution is appropriate and feasible. The supervisor shall indicate on the original
report what steps were taken toward resolution and whether or not those steps were successful.
• Forward the completed report along with any supporting documentation to the Executive Officer
for disposition.
Executive Officer. The Executive Officer shall, upon receipt of any claims assistance information, conduct
an inquiry into the circumstances of the incident and determine if the most appropriate manner of
assistance has been rendered. If additional steps may be taken toward a fair resolution, the Executive
Officer shall insure that those steps are taken."
Pre - Claims Revision - Page 4
reinvestigating each pre -claim or case at multiple levels within the Department could
conceivably result in the rare case being discovered. However, such a routine
redundancy of effort may not be the most efficient use of resources, especially where
the investigating supervisor should be making an initial determination regarding our
conduct and the extensiveness of the investigation. In most routine cases, we can
accomplish the same result by periodic risk management refresher training for our
supervisors, and holding them accountable for conducting appropriate investigations.
In the future, we will also forward copies of new pre - claims and a monthly summary list
to the Risk Manager for third party review, who may recognize a need for action based
on her expertise. The Risk Manager will be involved in more serious investigations so
notification and review is accomplished.
Revised Procedures /Investigation of Incidents with Serious Bodily Injury
Serious incidents involving our personnel that result in the death or a life threatening
critical injury to another have for years required the call out of our Administrative
Investigation team (AIT) .4 The City Attorney's office and Risk manager are involved or
briefed on matters where the AIT has initiated an investigation. These are very rare
occurrences, and are usually reviewed or also investigated by the Orange County
District Attorney's Office.
While incidents that do not require the use of the Administrative Investigation team have
historically been handled through our pre -claim process, significantly serious injuries
should have a higher level of handling than traditionally conducted. While it is not
efficient to activate the AIT in all cases of serious injury, an enhanced investigation by
on duty supervisors should be instituted.
4 NBPD Manual section 4/411 "ADMINISTRATIVE INVESTIGATION TEAM" provides:
"The Administrative Investigation Team conducts confidential investigations into major incidents. The
report generated focuses on administrative concerns, such as tactics, training, and equipment, and is
prepared for the City Attorney's office.
MANDATORY CALL OUT. The Watch Commander shall request the Administrative Investigation Team in
all cases of:
• Intentional discharge of firearms by an employee of this Department (excluding range
qualification, legitimate recreational activities, or the dispatching of injured animals).
• Accidental discharge of a firearm by an employee of this Department resulting in personal injury.
• Use of deadly force by an employee of this Department resulting in grave or fatal injury to
another.
• In- custody death.
• In- custody injury of such severity that a fatality may result.
OPTIONAL CALL OUT. The Watch Commander shall request the Administrative Investigation Team in
other cases in which an investigation is requested by the Chief of Police."
Pre - Claims Revision - Page 5
The following procedure should be used when a person suffers a serious bodily injury
as a result of a contact with NBPD personnel. This procedure should be included in the
NBPD Manual in the Risk Management section. This new section also discusses the
requirements for more routine pre - claims investigations:
NBPD Manual Section 3/906
Preliminary Claims Investigations
Purpose
Incidents involving NBPD personnel that result in serious bodily injury to another have a
high potential for civil claims against the City and City employees. In anticipation of
litigation, Preliminary Claims Investigations shall be conducted under the direction and
with the assistance of the Office of the City Attorney.
When Required
A Preliminary Claims Investigation shall be conducted when a person suffers a serious
bodily injury as a result of a contact with NBPD personnel.
"Serious bodily injury" means a serious impairment of physical condition, including, but
not limited to, the following: prolonged loss of consciousness; concussion; bone
fracture, with the exception 6f simple fractures of fingers and toes; protracted loss or
impairment of function of any bodily member or organ; a wound requiring extensive
suturing; and serious disfigurement.
Procedure
1. The Watch Commander shall:
• Insure appropriate medical attention is rendered.
• Conduct or insure a preliminary claims investigation is immediately begun by a
supervisor.
• Notify the Chief of Police and Division Commander.
2. The Investigating Supervisor shall at minimum, conduct a preliminary investigation
that includes:
• Completion of a pre - claims cover sheet
• Identification of potential witnesses
• Verbal preliminary statements from involved employees
• When possible, a tape recorded interview of the injured person (use of MVS
system is permitted)
Pre - Claims Revision - Page 6
• If circumstances permit, tape recorded interviews of non -NBPD witnesses (use of
MVS system is permitted)
• Retention and /or review of video and audio tapes of the incident
• Recording of environmental conditions
• Preservation of evidence (Use or call out of CSI is permitted)
• Sufficient photographs of injuries, evidence and locations
• Video documentation by the Video Unit where applicable
• Assembly of completed reports
• Completion of an Employee's Report (NBPD 15.7) as a preliminary report of his
or her investigation
3. The Investigating Supervisor shall insure that the Division Commander receives the
Preliminary Claims investigation or is briefed on the information by the start of the
next business day.
4. The Division Commander shall insure the Chief of Police was notified and updated.
5. The Chief of Police or designate shall insure the City Attorney's Office is notified.
6. The preliminary report or circumstances should be reviewed by the Legal Advisor,
Executive Officer, City Risk Manager and a representative from the Office of the City
Attorney as soon as possible, and additional investigatory tasks discussed and
assigned.
7. Additional statements of involved employees will be obtained by, or with the
assistance or at the direction of, the Office of the City Attorney.
8. A Preliminary Claims Investigation conference should be conducted upon the
completion of the preliminary investigation.
Non - Serious Injury Investigations
Incidents involving property damage, minor injuries or potential claims of violation of civil
rights should have a preliminary claims investigation completed at the level appropriate
to the nature or extent of the damage or injury. Such reports should be reviewed by the
Division Commander, Executive Officer and Legal Advisor, and copies forwarded to the
Risk Manager. The Office of the City Attorney should be notified when circumstances
warrant.
Note: Sworn employees may decline to be interviewed without representation if they
reasonably believe their conduct may lead to punitive action.
i�)
Pre - Claims Revision - Page 7
CONCLUSION
Implementing the revised procedure for incidents involving serious bodily injury, the
distribution of all other reports to the Risk Manager and providing refresher training to
our personnel should increase the opportunity for early attention or settlement where
warranted. While these changes may require significant staff time in some cases, the
proposed revisions to our risk management practices can only help prevent possible
mistakes and help reduce potential City liability.
Respectfullyyubmitted,
c'
M. Hyams, Lieutenant