HomeMy Public PortalAboutADM-126.1_Complaints & Investigations_Effective 01-01-2021
City of Lebanon
New Hampshire
ADMINISTRATIVE POLICIES & PROCEDURES
COMPLAINTS & INVESTIGATIONS
Policy Number Effective Date Last Revision Page No.
ADM-126.1 1/1/2021 9/1/2020 Page 1 of 9
Approved by:
Section 1.0: Purpose
The purpose of this policy is to outline the procedures for receiving, investigating
and processing complaints regarding City personnel and officials.
Section 2.0: Scope
This policy applies to all City personnel under the authority of the City
Manager. The policy also applies to City officials not under the authority of
the City Manager regarding reporting only.
Section 3.0: Definitions
3.1 Internal Review is an independent review process in which case the
reviewer can review an investigation and the conclusions drawn from it by
the person originally adjucating the matter.
3.2 Internal Investigation is a formal inquiry to determine whether
policies or regulatory practices have been violated. Internal investigations
may be conducted by outside contracted parties.
3.3 City Official is a person who is elected to a position in City government
or appointed by the City Council, City Manager or any other
Board/Commission/Committee that has the power to appoint persons to
positions in City government.
3.4 City Employee is a person who works for the City and in return is
compensated financially.
3.5 Complaint an expression of concern, discontent, dissatisfaction,
faultfinding; something that is the cause or subject of protest or outcry; a
formal allegation against a party.
3.6 Informal Complaint is a complaint that is not of a serious nature, is
not a serious violation of department or city policies, is not believed to be
serious by the citizen filing the complaint.
12/2/2020
City of Lebanon
New Hampshire
ADMINISTRATIVE POLICIES & PROCEDURES
COMPLAINTS & INVESTIGATIONS
Policy Number Effective Date Last Revision Page No.
ADM-126.1 1/1/2021 9/1/2020 Page 2 of 9
Approved by:
3.7 Formal Complaint is a complaint that in which the complainant
indicated a desire to file a formal complaint against a City employee or City
official. The department head or City Manager deem the complaint to be
serious violation of City or department policy or would constitute a violation
of law
Section 4.0: Policy Detail
It is the policy of the City of Lebanon to encourage people to bring forward
concerns regarding misconduct by City personnel and officials. The process
will be as efficient, easily accessible and transparent as possible. All City
staff shall cooperate fully with reviews and investigations regarding
complaints. It is expected that City officials who are not under the authority
of the City Manager will fully cooperate with reviews and investigations
regarding complaints.
Section 5.0: Procedures
5.1 Receiving a Complaint
5.1.1 Complaint Means of Filing
City staff shall immediately receive complaints of misconduct whether
received by email, text, social media, letter, telephone or in person. The
staff member receiving the complaint shall forward the complaint to their
respective department head. If the complaint is regarding a department
head the complaint shall be filed with the City Manager. Persons filing
complaints against City employees or City officials may file the complaint
directly with the City Manager.
5.1.2 Complaints Involving Library Personnel
Complaints involving Library personnel will follow the same process however
if the complaint involves the Library Director, the City Manager will report
the complaint to the Library Trustees.
City of Lebanon
New Hampshire
ADMINISTRATIVE POLICIES & PROCEDURES
COMPLAINTS & INVESTIGATIONS
Policy Number Effective Date Last Revision Page No.
ADM-126.1 1/1/2021 9/1/2020 Page 3 of 9
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5.1.3 Complaints Involving Elected and Appointed Officials
Complaints involving City Officials whether elected or appointed who are not
under the authority of or appointed by the City Manager shall be forwarded
to the City Council for further action. Complaints involving a City Councilor
shall be forwarded to the Mayor. If the complaint involves the Mayor the
City Manager shall coordinate a meeting of the City Council to address the
complaint.
5.1.4 Complaints Involving the City Manager
Complaints involving the City Manager shall be forwarded to the Mayor for
further action. The Mayor with approval of the City Council may request
assistance from the Deputy City Manager and/or legal counsel to investigate
the complaint.
5.1.5 Receiving Complaints Through the Anonymous Hotline
The City operates an anonymous hotline for reporting waste, fraud and
abuse. The procedures regarding the use of the Anonymous Hotline shall be
as outlined in ADM-111 ANONMYOUS HOTLINE POLICY to the extent
that it is not inconsistent with this policy.
5.1.6 Receiving Complaints Involving EEO, Sexual Harassment and
Hostile Work Environments
Complaints involving Equal Employment Opportunity, Sexual Harassment
and Hostile Work Environments shall follow the policy as outline in ADM-
123 ANTI-HARASSMENT, EEO AND SEXUAL HARASSMENT to the extent
it is not inconsistent with this policy.
5.1.7 Serious Incident Reporting
City of Lebanon
New Hampshire
ADMINISTRATIVE POLICIES & PROCEDURES
COMPLAINTS & INVESTIGATIONS
Policy Number Effective Date Last Revision Page No.
ADM-126.1 1/1/2021 9/1/2020 Page 4 of 9
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This policy does not supersede the reporting of Serious Incidents as outlined
in ADM-103 INCIDENT REPORT. ADM-103 further defines timelines for
report of incidents. This policy compliments ADM-103.
5.1.8 Receiving Complaints Regarding Ethics Violations
Complaints regarding violations of the Ethics Policy shall be handled in
accordance with the provisions of ADM-108 ETHICS to the extent it is not
inconsistent with this policy.
5.1.9 Duty to Report
All City staff under the authority of the City Manager shall report incidents
when they have evidence of or reasonable suspicion that a City employee or
official may have attempted or actually committed a crime. The reporting
requirement relates to activities in the performance of their function as a
City employee or official or there is a tangible relationship to those functions.
5.1.9.1 Department Policies. Reports under this section shall be
made in accordance with respective written department policies in
those departments that have written policies. Department policies
shall not be repugnant to the provisions of this policy.
5.1.9.2 Timing of Notification. Notwithstanding the provisions of
policy ADM-103 Incident Report, any allegations of misconduct by a
City employee or official that would or may constitute a crime shall be
reported to the City Manager within 24 hours. City staff must notify
their respective department head when they become aware of
evidence of or a have a reasonable suspicion that a City employee or
official may have attempted or actually committed a crime in the
performance of their function as a City employee or official or there is
a tangible relationship to those functions. Department heads shall
report such incidents to the City Manager as indicated above.
5.1.9.3 Exceptions. The only exception to this reporting requirement
is when the following circumstances exist;
City of Lebanon
New Hampshire
ADMINISTRATIVE POLICIES & PROCEDURES
COMPLAINTS & INVESTIGATIONS
Policy Number Effective Date Last Revision Page No.
ADM-126.1 1/1/2021 9/1/2020 Page 5 of 9
Approved by:
1. The reporting employee is working with a federal, state,
county or local law enforcement agency investigating the
allegations of activities described in this policy that would
require reporting. And,
2. The risk of compromising the investigation by complying with
the reporting requirements in this policy is reasonable and
articulable. And,
3. The law enforcement agency conducting the investigation has
specifically requested the employee having such knowledge,
not to report the incident in accordance with this policy.
5.1.9.4 Failure to Report incidents in accordance with this section
may result in disciplinary action up to and including termination of
employment.
5.1.10 Protection of Reporting Parties
Persons filing complaints against City employees or City officials shall not be
harassed, abused, intimidated, threatened or otherwise discriminated
against by any City employee or City official. City employees are further
protected regarding the filing of complaints or participating in investigations
through provisions of RSA 275-E Whistleblowers’ Protection Act. There are
additional protections for City employees under federal law, see references
in Section 6 below.
5.2 Review and Investigation of Complaints
5.2.1 Authority and Responsibility to Investigate
The authority and responsibility for investigating violations of City policies is
placed on the department of the employee involved in the first instance.
Department Heads have the authority and responsibility to ensure
investigations or complaints alleging violations of City policy are conducted.
Some departments may have formal policies regarding how internal
investigations are conducted and how those investigations are reviewed.
City of Lebanon
New Hampshire
ADMINISTRATIVE POLICIES & PROCEDURES
COMPLAINTS & INVESTIGATIONS
Policy Number Effective Date Last Revision Page No.
ADM-126.1 1/1/2021 9/1/2020 Page 6 of 9
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Complaints regarding department heads shall be forwarded to the City
Manager’s Office. Complaints against department heads shall not be
investigated by departments, only the City Manager’s Office will investigate
these complaints.
5.2.1.1 City Manager Authority. The City Manager reserves the authority
to conduct an independent review of internal investigations conducted by
departments. Further, the City Manager may intervene and take over the
investigation of any complaint regarding a violation of City policy to conduct
an independent investigation. This provision does not apply to complaints
involving the City Manager.
5.2.1.2 Complaints involving allegations of criminal conduct.
Complaints alleging actions by City employees or officials that would
constitute a crime shall be reported to the appropriate law enforcement
agency having jurisdiction. When the complaint involves allegations of
criminal conduct, the internal investigation may have to be delayed until the
outcome of a criminal investigation and prosecution. Decisions regarding
the delaying of internal investigations in these circumstances shall be made
with the City Manager, the law enforcement agency conducting the
investigation and the agency with prosecutorial jurisdiction.
5.2.1.3 Procedures for Informal Complaints. Some informal complaints
can be addressed verbally with the complainant and the employees or
officials involved. Other informal complaints may require further action. In
these cases the following steps should be followed,
1. Complete the complaint form.
2. Conduct necessary interviews appropriate, including employees
and gather any other information relevant to the matter.
3. Notify the employee(s) of the allegations and interview the
employee(s)
4. Complete a memorandum outlining the complaint and the
investigation to include the finding.
City of Lebanon
New Hampshire
ADMINISTRATIVE POLICIES & PROCEDURES
COMPLAINTS & INVESTIGATIONS
Policy Number Effective Date Last Revision Page No.
ADM-126.1 1/1/2021 9/1/2020 Page 7 of 9
Approved by:
5.2.1.4 Procedures for Formal Complaints. Formal complaints will
always require documentation as detailed below.
1. Complete the complaint form.
2. Conduct necessary interviews appropriate, including employees and
gather any other information relevant to the matter.
3. Notify the employee(s) of the allegations and interview the
employee(s)
4. Complete a memorandum outlining the complaint and the
investigation to include the finding.
5. Notify the complaint of the results of the complaint.
5.2.1.5 Procedures for Recording Complaints. All complaints against
City Staff and Officials shall be added into the Guardian tracking software to
include supporting documentation.
5.2.2 Cooperation Regarding Investigation of Complaints
The employees of the City shall cooperate with internal investigations
regarding complaints. Failure to cooperate with investigators is considered
insubordination. Employees who fail to cooperate will be subject to
disciplinary action up to and including termination of employment.
5.2.3 Findings of Investigations. The person assigned to conduct an
investigation of a formal and in some cases informal complaint shall at the
completion of that investigation make a finding which shall include one of
the following determinations;
1. Sustained- The complaint is substantiated by the evidence available.
2. Unfounded- The complaint on not factual.
3. Exonerated- There is evidence to indicate the incident occurred
however the actions of the employee were lawful and not contrary to
City or department policy.
4. Not Sustained- The complaint is unsubstantiated based upon the
evidence that is available.
City of Lebanon
New Hampshire
ADMINISTRATIVE POLICIES & PROCEDURES
COMPLAINTS & INVESTIGATIONS
Policy Number Effective Date Last Revision Page No.
ADM-126.1 1/1/2021 9/1/2020 Page 8 of 9
Approved by:
5.3 Records and Documents
Documents relating to complaints, the investigation of those complaints,
findings and recommendations shall be maintained in accordance with
records retention schedules under New Hampshire law, administrative rule
or the City’s record retention policies.
5.3.1 Unfounded, Exonerated and Not Sustained complaints
Complaints and the related documents regarding the investigation of those
complaints in which the finding is Unfounded, Exonerated or Not Sustained
shall be filed in a designated location in the City’s records management
system separate from the personnel files of the persons involved.
5.3.2 Sustained complaints
Complaints and the related documents regarding the investigation of those
complaints in which the finding is Sustained shall be filed in the designated
founded complaints file.
5.3.3 Confidentiality
The investigation of complaints or the conduct of an internal review involving
City employees and City officials shall remain confidential. All information
and documents regarding complaints and the investigation of those
complaints shall remain confidential in accordance with the exemptions as
proscribed in RSA 91-A, other related state/federal statutes as may be
interpreted by state and federal courts.
Section 6.0: References (Charter/Code/State Statues)
1. City Policy ADM-111 Anonymous Hotline Policy
2. City Policy ADM-123 Anti-Harassment, EEO and Sexual Harassment Policy
3. City Policy ADM-103 Incident Report
4. City Policy ADM-108 Ethics
5. City Policy ADM-114 Records Management
6. State of NH RSA 275-E, Whistleblowers’ Protection Act
City of Lebanon
New Hampshire
ADMINISTRATIVE POLICIES & PROCEDURES
COMPLAINTS & INVESTIGATIONS
Policy Number Effective Date Last Revision Page No.
ADM-126.1 1/1/2021 9/1/2020 Page 9 of 9
Approved by:
7. State of NH RSA 91-A, Right to Know Law
8. Federal 29 CFR 1977, Asbestos Hazard Emergency Response Act, 15 USC
2651
9. Federal 29 CFR 24, Safe Drinking Water Act, 47 USC 300j-9(i)
10.Federal 29 CFR 24, Federal Water Pollution Control Act, 33 USC 1367
11.Federal 29 CFR 24, Solid Waste Disposal Act, 42 USC 6971
12.Federal 29 CFR 24, Clean Air Act, 42 USC 7622
13.Federal 29 CFR 24, Comprehensive Environmental Response, Compensation
and Liability Act, 42 USC 9610
14.Federal 29 CFR 1984, Affordable Care Act, 29 USC 218c]
Section 7.0: Policy & Procedure Revision History
Section Revisions Date
Original Adoption All Newly created 9/1/2020
Amendment Body
5.2.1.5
Replace “citizen” with “people”
Added Guardian Software entry
provisions
1/1/21
Amendment
Amendment