Chapter 01. Internal Investigative Unit
Regulation .01 Purpose.LinkCopy Citation
This chapter establishes procedures for:
A.
Filing complaints of alleged misconduct with the Internal Investigative Unit;
B.
Conducting and coordinating investigations undertaken or assigned by the Internal Investigative Unit;
C.
Reporting and notification requirements related to investigations undertaken or assigned by the Internal Investigative Unit; and
D.
Reporting violations of criminal and Maryland Public Ethics Law, State Government Article, Title 15, Annotated Code of Maryland, by an employee to the Assistant Attorney General for the Department and the Chief Counsel to the Governor.
Regulation .02 Definitions.LinkCopy Citation
A.
In this chapter, the following terms have the meanings indicated.
B.
Terms Defined.
(1)
“Agency” means an organization, institution, division, or unit established by statute or created by the Secretary within the Department.
(2)
“Agency head” means the highest authority of an agency.
(3)
“Contraband” means any item that an inmate is prohibited from possessing according to law, regulation, or Department, agency or correctional facility policy.
(4)
“Controlled dangerous substance (CDS)” has the meaning stated in Criminal Law Article, §5-101, Annotated Code of Maryland.
(5)
“Department” means the Department of Public Safety and Correctional Services.
(6)
“Director” means the Director of the Internal Investigative Unit.
(7)
Employee.
(a)
“Employee” means an individual assigned to or employed by the Department in a full-time, part-time, temporary, or contractual position.
(b)
“Employee” includes:
(i)
A special appointee;
(ii)
A volunteer; or
(iii)
An intern.
(8)
“Escape” means any conduct by an inmate that may be charged as an escape under Maryland law.
(9)
“Facility” means a structure or space used, owned, or leased by the Department to conduct Department administrative and operational activities.
(10)
Inmate.
(a)
“Inmate” means an individual in the custody or under the supervision of the Department.
(b)
“Inmate” includes an individual:
(i)
In pretrial, sentenced, or presentenced (after guilty finding but before sentencing) status actually or constructively confined by the Department;
(ii)
In a Department home detention program; or
(iii)
Under the supervision of the Division of Parole and Probation.
(11)
“Internal Investigative Unit (IIU)” means the Department of Public Safety and Correctional Services Internal Investigative Unit.
(12)
“Investigator” means a Department employee permanently assigned to or on special assignment to assist the IIU with the responsibilities specified under Correctional Services Article, §10-701(a)(3), Annotated Code of Maryland.
(13)
Nonagency Employee.
(a)
“Nonagency employee” means an individual who, by contract or other lawful arrangement, provides services to an inmate or the Department.
(b)
“Nonagency employee” includes an employee of the Department of Education.
(14)
“Secretary” means the Secretary of Public Safety and Correctional Services.
Regulation .03 Scope of IIU Investigative Authority.LinkCopy Citation
A.
The Director, or a designee, shall investigate:
(1)
An alleged violation of criminal law committed by an employee while on duty;
(2)
An alleged violation of criminal law committed by an employee while off duty if that violation impacts, or has the potential to impact, negatively on the Department;
(3)
An alleged violation of criminal law committed by an inmate, a visitor, a nonagency employee, or another individual that may affect the safety or security of a Department facility;
(4)
An alleged violation of Maryland Public Ethics Law, State Government Article, Title 15, Annotated Code of Maryland, by an employee or nonagency employee; and
(5)
Other alleged violations that have a negative impact on the Department.
B.
The Director, or a designee, shall perform other duties and investigative responsibilities assigned by the Secretary.
Regulation .04 IIU Responsibility.LinkCopy Citation
A.
Appointment; Reporting.
(1)
The Secretary shall appoint the Director.
(2)
The Director shall report directly to the Secretary.
B.
The Director shall:
(1)
Oversee IIU activities;
(2)
Assign IIU employees to perform administrative and investigative duties and responsibilities;
(3)
Supervise employees permanently assigned to the IIU;
(4)
Ensure the confidentiality of all reports, records, and documents related to investigations conducted or assigned by the Director, or a designee;
(5)
Coordinate, with the Secretary, the release of information regarding investigations conducted or assigned by the Director, or a designee;
(6)
Serve as the principal contact regarding IIU operational activities with officials of federal, state, and local agencies, other Department investigative entities, and appropriate government organizations;
(7)
If an investigation affects another enforcement agency, consult with the appropriate representative of that agency;
(8)
Develop and maintain procedures to manage IIU operational activities;
(9)
If appropriate, consult with an agency head concerning an investigation or the potential for public or media interest related to an investigation;
(10)
Annually, report on trends, status, and results of investigations and related IIU activities in a manner determined by the Secretary;
(11)
Ensure that an employee on special assignment to the IIU properly reports all investigative activities;
(12)
Require that an investigator permanently assigned to the IIU is certified as a police officer according to requirements under COMAR 12.04.01;
(13)
Maintain a record of all complaints received by the IIU; and
(14)
Maintain a tracking system to monitor activity and disposition of each investigation conducted or assigned by the Director, or a designee.
Regulation .05 Incidents Required to be Reported to the IIU.LinkCopy Citation
A.
Except as provided under §B of this regulation, an employee shall immediately notify the Director, or a designee, if the employee is involved in or has knowledge of:
(1)
An alleged violation by an employee of:
(a)
The criminal law of the United States, a state, or a political subdivision of a state;
(b)
Transportation Article, Annotated Code of Maryland, or an equivalent law of another state, involving the operation of a motor vehicle while under the influence of alcohol or a CDS; or
(c)
Maryland Public Ethics Law, State Government Article, Title 15, Annotated Code of Maryland;
(2)
An alleged violation of the criminal law of the United States, a state, or a political subdivision of a state committed by an inmate, a visitor, a nonagency employee, or other individual that affects the safety or security of a Department facility;
(3)
An allegation of excessive force by an employee or nonagency employee;
(4)
The possession or trafficking of contraband by an inmate, employee, or nonagency employee at a Department facility;
(5)
An allegation that an on-duty employee or nonagency employee is under the influence of alcohol or a CDS, including the illegal use of a prescription drug;
(6)
The death of an employee or nonagency employee while on duty;
(7)
The death of an off-duty employee or nonagency employee if the manner of death:
(a)
Is connected to the individual's employment with or services the individual provides to the Department; or
(b)
Could have a negative effect on the Department;
(8)
The death of an inmate;
(9)
An attempted suicide by an inmate;
(10)
An escape or attempted escape by an inmate;
(11)
An incident where an employee displays or handles a firearm in a careless or unsafe manner;
(12)
An incident where an employee discharges a firearm, other than on a firing range;
(13)
The arrest of, or service of a criminal summons on, an employee or nonagency employee;
(14)
The execution of a search warrant on property owned by or under the control of an employee or nonagency employee;
(15)
An allegation of prohibited social, personal, intimate, or sexual relationship between an inmate and an employee or nonagency employee;
(16)
An allegation of prohibited communication, transaction, association, or relationship, between an employee or nonagency employee and the following acting on behalf of an inmate:
(a)
Visitor;
(b)
Friend;
(c)
Relative; or
(d)
Other individual;
(17)
An allegation involving an employee or nonagency employee which, if publicized, would reflect negatively on the Department or State; and
(18)
An allegation involving an agency head or the agency head's staff, which, if handled by the agency head or the agency head's superior, could pose a conflict of interest.
B.
If an allegation required to be reported under §A of this regulation is discovered during a proceeding properly before the Inmate Grievance Office, as part of the administrative remedy procedure, or other similar Department administrative process, the employee responsible for the process:
(1)
May notify the Director, or a designee, if, in the employee's judgment, the allegation warrants notifying the IIU; and
(2)
Shall notify the Director, or a designee, if, while processing an allegation, another allegation required to be reported under §A of this regulation is discovered that warrants notification according to §B(1) of this regulation.
Regulation .06 Police Authority.LinkCopy Citation
When performing duties associated with the IIU, an investigator who is certified as a police officer according to requirements under COMAR 12.04.01 may exercise the authority of a police officer under Correctional Services Article, §10-701(b) and (c), Annotated Code of Maryland.
Regulation .07 Authority and Responsibility of an Investigator.LinkCopy Citation
An IIU investigator:
A.
Shall have unrestricted access to all areas of a Department facility;
B.
In addition to the authority under Regulation .06 of this chapter, may:
(1)
Access Department records;
(2)
Request assistance from an agency employee;
(3)
Request assistance from another law enforcement agency;
(4)
Inspect facilities, vehicles, or equipment; and
(5)
Require an employee to provide testimonial or physical evidence; and
C.
Shall:
(1)
Conduct an investigation in an impartial and reasonable manner according to the oath of office and law of the United States and the State;
(2)
Be courteous, attentive, and receptive to an individual reporting or providing evidence related to a complaint under investigation;
(3)
Ensure the safety and chain of custody for items and evidence received;
(4)
Maintain confidentiality of all matters related to investigations; and
(5)
Prepare an investigative report that, at a minimum, contains:
(a)
Complete and detailed information regarding the complaint or incident;
(b)
A clear account of investigative actions; and
(c)
All relative information supporting the finding.
Regulation .08 Agency Heads.LinkCopy Citation
An agency head or a designee shall:
A.
Notify the Director or a designee, and if required, local law enforcement, of an allegation required to be reported under Regulation .05 of this chapter;
B.
Relinquish authority for an investigation undertaken by the IIU, including an investigation initially assigned to an agency head, or a designee, that is subsequently assumed by the IIU;
C.
Provide to the IIU investigator unrestricted access to all areas of the agency head's facility;
D.
Ensure that agency employees cooperate with the IIU investigator;
E.
If requested by the IIU, assign agency employees to assist the IIU investigator and serve as an IIU liaison;
F.
Coordinate agency employee, nonagency employee, and inmate interviews requested by an IIU investigator;
G.
Provide reports, documents, and information requested by an IIU investigator;
H.
Ensure confidentiality of all reports, records, investigative activities, and documents relating to an IIU investigation;
I.
Provide workspace within the facility for use by the IIU personnel during an investigation;
J.
Secure and preserve the scene of an incident until released to an IIU investigator or appropriate law enforcement personnel; and
K.
Be accountable for investigations conducted at the agency level ensuring that:
(1)
Where appropriate, investigative activities are conducted according to requirements for an IIU investigator;
(2)
Required reports are completed; and
(3)
Investigative reports are forwarded to the Director, or a designee, for review, filing, and retention.
Regulation .09 IIU Notification Procedures.LinkCopy Citation
A.
An employee involved in or with knowledge of an alleged violation under Regulation .05 of this chapter, regardless of whether the employee believes the allegation to be founded, shall immediately file a complaint with the Director, or a designee.
B.
The Director, or a designee, receiving notification under §A of this regulation shall:
(1)
If possible, identify the employee or individual making the complaint; or
(2)
If the complaint is made anonymously, record it as anonymous.
C.
The Director, or a designee, shall receive and handle an anonymous complaint in the same manner as a complaint where the employee or other individual filing the complaint or the victim is identified.
D.
An employee filing a complaint under §A of this regulation shall forward a written report of the complaint, in a form determined by the Director, directly to the Director or a designee, by the close of the next workday after filing the complaint with the IIU.
E.
An employee, a nonagency employee, an inmate, a visitor, or anyone on the behalf of these individuals may file a complaint directly to the Director, or a designee, or a law enforcement agency.
Regulation .10 IIU Post-Notification Responsibilities.LinkCopy Citation
A.
After a complaint is filed with the IIU, the Director, or a designee, shall evaluate the information provided and:
(1)
Decide whether an IIU investigator shall investigate the complaint; or
(2)
Refer the complaint for investigation to the appropriate agency head.
B.
The Director shall establish a system to record each complaint received and track disposition of each complaint recorded.
Regulation .11 Report of Investigation.LinkCopy Citation
A.
The Director, with the approval of the Secretary, shall determine the format and content of a report of investigation.
B.
The IIU is the repository for all reports of investigations conducted by an IIU investigator or assigned through the IIU to an agency head for investigation.
C.
The Director shall coordinate release of an investigative report with the Secretary consistent with all laws, rules, regulations, policy, and procedures.
Regulation .12 Public Corruption and Misconduct.LinkCopy Citation
A.
If an investigation of a complaint under this chapter determines that an employee has committed a violation of a criminal or the Maryland Public Ethics Law, State Government Article, Title 15, Annotated Code of Maryland, the Director, or a designee, shall notify the:
(1)
Chief counsel to the Governor; and
(2)
Assistant attorney general for the Department.
B.
An agency head completing an investigation that determines an employee has committed a violation of a criminal law or Maryland Public Ethics Law, State Government Article, Title 15, Annotated Code of Maryland, shall immediately report the findings to the Director, or a designee, who shall make the notifications required under §A of this regulation.
Chapter annotations
Authority: Correctional Services Article, §10-701, Annotated Code of Maryland
History: Effective date: August 28, 2006 (33:17 Md. R. 1437)