SPD Disciplinary Process Roadmap
The Office of Inspector General (OIG) provides the following roadmap to assist interested stakeholders, including the public, with understanding the City process for handling complaints alleging Seattle Police Department (SPD) officer misconduct. It walks the reader through major actions in the process, from initial receipt of a complaint through possible avenues for resolution.
This roadmap does not reflect all internal steps taken by agencies that support the process. Contents have been verified by applicable agencies as identified on the map.
The main elements of a complaint consist of initial filing, review by the Office of Police Accountability with Office of Inspector General oversight, proposed disciplinary action if any by SPD, then exercise of any invoked grievance or appeal rights of the officer named in the complaint (the named employee).
Contents include the following:
1. Process Overview2. Intake and Contact Log3. Classification
A. Expedited InvestigationB. Supervisor ActionC. MediationD. Administrative InvestigationE. Criminal Referral
4. Proposed Discipline5. Grievance or Appeal6. Arbitration
Complaint Intake
Office of Police Accountability
Review
Proposed SPD Discipline
Grievance or Appeal Arbitration
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Disciplinary Process Overview MapInternal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
FindingsNot Sustained
Closing180‐day notice
Closing
Discipline Meeting
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Guild Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
Director Certification
MemoFindingsSustained
Key Agents for Steps in Discipline
Labor & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Labor & Employee
City Attorney Office of Police Accountability (OPA)** Office of Inspector General (OIG) providesactive oversight of OPA processes. In certaininstances OIG will perform disciplinary processsteps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney, OPA &Chain of Command
© 2019 Seattle OIG06-18-2019
2 of 41
Disciplinary Process ‐ Intake Overview Map Page 1 of 5
Internal Complaint Public Complaint
Complaint Classification30‐day notice
SupervisorAction
ExpeditedInvestigation
AdministrativeInvestigation
CriminalReferral
Mediation
Case filecreated
Intake5‐day notice
PreliminaryInvestigation
SPD employee namedor SPD misconduct
alleged
No SPD employee named and no SPD misconduct alleged
Closing
ContactLog
Internal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
FindingsNot Sustained
Closing180‐day notice
Closing
Discipline Meeting
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
Director Certification
MemoFindingsSustained
Key Agents for Steps in Discipline
Labor & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Labor & Employee
City Attorney Office of Police Accountability (OPA)** Office of Inspector General (OIG) providesactive oversight of OPA processes. In certaininstances OIG will perform disciplinary processsteps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney, OPA &Chain of Command
© 2019 Seattle OIG07-01-2019
Intake
This map shows what happens from when a complaint is received by the Office of Police Accountability (OPA) until OPA classifies the complaint. If a complaint appears not to involve Seattle Police Department employees or possible misconduct, OPA classifies the complaint as a "contact log".
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1‐1) Complaint IntakeCo
mplaina
ntPu
blic or
Internal
Supe
rviso
r (SP
D)OPA
Adm
in Tea
mOPA
Dire
ctor / Alternate
Nam
ed
Employ
eeStart to Complainant Notification
Start
Reports misconduct -
public or internal referral of SPD
employee
Receives complaint
Type of misconduct
referralRefers to EEO
Refers to OPA
Complaint intake with
possible misconduct
Has a case file?
Creates case file
Updates case file
Named employee works for
SPD?
Refers to named
employee’s employer
Is it criminal?
Alleged policy
violation?
Notifies complainant if complaint not made online
Bias
Serious Policy Violations (SPD Manual 5.002.5)
Internal SPD referral: Supervisor, Peer, FRB(SPD Manual 5.002.5)
Public
Yes
No
No
Yes OR unidentified
No
ToOPA Contact Log Proposal
To Criminal Referral Proposal
ToOPA Contact Log Proposal
Yes No
YesConflict of interest for
OPA?
Refers case to OIG
Yes
Routes to Intake Lieutenant
(supervisor) and Intake Sergeant
(investigator)
No
Receives confirmation of
complaint
To OIG Investigation
Flowchart
Follow EEO process
End (out of scope for this project)
Page 2 of 5
Legend
ContributorsOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made From process
shown on a different
pageStartEnd
Document
1‐2
© 2019 Seattle OIG07-01-2019
1‐3
4 of 41
1‐2) Complainant (5‐Day) Notification to ClassificationCo
mplaina
nt
Public or
Internal
Nam
ed
Employ
ee
SPOG /
SPMA
(Lab
or)
Supe
rviso
r (SPD
)OPA
Investigator
OPA
Investigation
Supe
rviso
rOPA
Dire
ctor / Alternate
OPA
Adm
in
Team
Classification5‐Day Notice
Routes to Intake
Lieutenant and Intake
Sergeant
Assigns case for preliminary investigation
Issues 5-day Notification
Receives notification of
complaint
Receives notification of
complaint
Provides advice to named
employee
Receives notification of
complaint
Conducts preliminary
investigation
Gathers existing
evidence and documentation
Is it criminal? Yes
Reviews documentation
for classification
No
Ready for classification?
Ready for classification?
Yes
No
Ensures allegations are noted and case file is complete
YesCriminalInves-
tigation
MediationProcess
Case file completion
No
Assess classification type for the allegation
Investigation Flowchart
Legend
ContributorsOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made From process
shown on a different
pageStartEnd
Document
Go to Classification
Page 3 of 5
From 1‐1
1‐3
From 1‐3
Preliminary investigation is also known as intake investigation
© 2019 Seattle OIG07-01-2019
5 of 41
1‐3) Classification and OIG ReviewOPA
Dire
ctor / Alternate
Office of Inspe
ctor Gen
eral
(OIG)
Assess classification type for the allegation
Is it criminal?
Classifies as Criminal
Investigation Referral
Yes
Alleged policy
violation?
No
Qualifies to be
expedited?
Yes
Qualifies for mediation?
Proposes to classify as
Contact Log
No
OPA Contact Log
Proposal
Better handled by supervisor?No
Proposes to classify as Supervisor
Action
Yes
Proposes to classify as
Administrative Investigation
No
Proposes to classify as Mediation
Proposes to classify as Expedited
Investigation
Yes
Yes
No
Receives case for
classification review
Is it Contact Log?
Criminal?
Yes
No
Ready for classification?
No
Is it proposed
expedited?
Qualifies to be
expedited?
Reviews file
Reviews classification
proposed against
classification characteristics
Reviews full file
ToExpedited
(2a-1)
No
No Yes Yes
NoNo
Yes
Classification appropriate?
Yes
Identifies information
neededNo Issues Request
for more data
Receives notification
Case file & classification complete?
Yes
Accepts OPA ClassificationYes Issues
Acceptance
To Case File
Completion
No
Go toNotify
Classification
Expedited, Mediation,
Contact Log?
Yes
Classification
Case file and classification complete?
Go To Case File
Completion No
Go to Final
Classification
Yes
Legend
ContributorsOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made From process
shown on a different
pageStartEnd
Document
Page 4 of 5
1‐4
1‐2
1‐2
1‐2
1‐4
© 2019 Seattle OIG07-01-2019
1‐1
6 of 41
1‐4) Final Classification (30‐Day Notification) and Contact LogOPA
Dire
ctor / Alternate
OPA
Adm
in Tea
mCo
mplaina
nt Pub
lic
or In
ternal
Nam
ed
Employ
eeSP
OG / SPMA
(Lab
or)
Supe
rviso
r (SPD
)Contact LogFinal Classification. 30‐Day Notice
Determines final
classification
Receives the classification Criminal?
Do not communicate to ANY party
Yes
Criminal Investiga-
tion
No
Final Classification
Issues classification
notice
Receives classification
notice
Receives classification
notice
Receives classification
notice
Receives classification
notice
Notifies Captain and
Assistant Chief of Named Employee
Classification type?
Supervisor ActionMediation
Adminis-trative
Investiga-tion
Contact Log
Contact Log Types Contact Log Letter
Reviews letter
Accepts Contact Log Close Case
Legend
ContributorsOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made From process
shown on a different
pageStartEnd
Document
Page 5 of 5
End
1‐4
© 2019 Seattle OIG07-01-2019
7 of 41
Disciplinary Process – Expedited Investigation Overview Map Page 1 of 2
DCM
Closing Director Certification Memo
OPA certifies investigation
Preliminary Investigation
Enough evidence (such as video) to demonstrate that the allegation
cannot be substantiated and there is no need to interview officer(s).
Complaint classification30‐day notice
Expedited Investigation
OIG certifies investigation
OIG reviews classification and case file
Investigation sent for OIG certification
Key Agents for Steps in Discipline
Labor & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Labor & Employee
City Attorney Office of Police Accountability (OPA)** Office of Inspector General (OIG) provides active oversight of OPA processes. In certain instances OIG will perform disciplinary process steps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney, OPA &Chain of Command
Office of Inspector General (OIG)
Internal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
FindingsNot Sustained
Closing180‐day notice
Closing
Discipline Meeting
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
Director Certification
MemoFindingsSustained
© 2019 Seattle OIG07-01-2019
Expedited Investigation
This map shows what happens if the complaint involves more than a minor violation of policy, but doesn't appear to be criminal, and the initial investigation by the Office of Police Accountability shows that the complaint may NOT be sustained during a more intensive full investigation.
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2A‐1) Expedited InvestigationOPA
Dire
ctor / Alternate
OIG
Complaina
nt
Public or
Internal
Nam
ed
Employ
eeOPA
Adm
in
Proposes to classify as Expedited
Investigation
Assesses classification type for the allegation
Case file complete to
identify a classification?
Qualifies to be
expedited?
Reviews classification
proposed against,
classification characteristics
Reviews full file
No
No
Yes
Identifies information and further
investigation needed
Issues Request for more
information or investigation
Receives notification
Potentially sustained findings?
Approves OPA classificationNo
Issues expedited
investigation certification
Yes
Expedited
Legend
ContributorsSeattle City AttorneyOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made From process
shown on a different
pageStartEnd
Document
Page 2 of 2
Receives notification
Receives notification
Yes
Asks for clarification or
more information
Within 10 days from OIG receiving
the case?Provides clarification or
more investigation
Yes
No
Issues Director Certification
Memo (DCM)
Notifies case is closed
End
Provides clarification or
more investigation
Ready to certify without OIG
feedbackYes
No
Proposes alternate
classification
Go to Classification
No
Sufficient information or investigation?
Yes
Flowchart1‐3
© 2019 Seattle OIG07-01-2019
9 of 41
Disciplinary Process – Supervisor Action Overview Map Page 1 of 2
Preliminary Investigation
Complaint Classification30‐day notice
Supervisor Action
CoC investigation complete
Supervisor reports steps & results
Employee’s supervisor reviews allegation
Employee’s CoC provides feedback to supervisor
OPArecommendations
Supervisor identifies remedial steps
Employee takes remedial steps
OPA closes case
Key Agents for Steps in Discipline
Labor & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Labor & Employee
City Attorney Office of Police Accountability (OPA)** Office of Inspector General (OIG) provides active oversight of OPA processes. In certain instances OIG will perform disciplinary process steps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney, OPA &Chain of Command
Office of Inspector General (OIG) © 2019 Seattle OIG
07-01-2019
Supervisor Action
This map shows what happens if the complaint involves conduct that was not a violation of policy or was a minor violation of policy that may best be addressed through education, communication, counseling or coaching.
Internal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
FindingsSustained
FindingsNot Sustained
Closing180‐day notice
Closing
Discipline Meeting
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
Director Certification
Memo
10 of 41
2B-1) Supervisor ActionN
amed
Em
ploy
eeSu
perv
isor
Supe
rviso
r’s C
hain
of C
omm
and
OPA
Adm
in T
eam
Source: SPD Manual 5.002 and 5.003
Page 2 of 2
Supervisor Action Review the
allegations
Requests screening of the incident
Screens the incident
Yes
Provides feedback
Identifies remedial steps to correct the
tactics or behavior
Takes remedial steps to
correct the tactics or behavior
Documents: allegation/violation, remedial
actions taken & outcomes
Writes a report
Documents the completed
investigation in a Frontline Blue Team
entry
Submits the Frontline Blue
Team Entry
Receives the Frontline Blue
Team EntryComplainant?
Internal: Observed by the supervisor
or internal employee
Follows and implements
remedial steps
Closes investigation
Optional: Notifies the complainant
that investigation is
complete.
Optional: Notifies OPA
that investigation is
complete
Made by a person outside of
SPD
Registers data from Frontline
Blue Team Entry
Closes Case End
ContributorsSeattle City Audit, Policy & Research SectionOffice of Police Accountability
Work Process
Notification Work Process
Decision to be made
DocumentEnd
Legend
© 2019 Seattle OIG07-01-2019
11 of 41
Disciplinary Process – Mediation Overview Map
Internal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
Director Certification
MemoFindings
Not Sustained
Closing180‐day notice
Closing
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
Page 1 of 3
Preliminary Investigation
Complaint Classification30‐day notice
Mediation
Complainant contacted
Cases for Mediation may be determined during investigation or
referred in specific cases from Administrative Investigation or
Supervisor Action
Complainant must sign agreement for mediation before mediation can proceed.
Mediation agreement is irrevocable.
Employeenotified Employee
does not agree tomediation
Returns to OPA forPreliminary Investigation
Employee agrees to mediation
OPA requests mediator
King County selects mediator
Mediation meeting with mediator, complainant, and employee
OPA closes case
Evaluation survey given by OPA to mediator, complainant and employee
and returned to OPA
Key Agents for Steps in Discipline
Labor & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Labor & Employee
City Attorney Office of Police Accountability (OPA)** Office of Inspector General (OIG) provides active oversight of OPA processes. In certain instances OIG will perform disciplinary process steps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney, OPA &Chain of Command
Office of Inspector General (OIG)
Discipline Meeting
FindingsSustained
© 2019 Seattle OIG07‐01‐2019
Mediation
This map shows what happens if complaints, particularly those involving possible miscommunication or misperception between the complainant and an SPD employee are suitable for mediation as an alternative to the traditional means of handling complaints.
12 of 41
2C-1) Mediation PlanningN
amed
Em
ploy
ee
Chai
n of
Co
mm
and
Com
plai
nant
Nam
edEm
ploy
eeO
PA A
dmin
Te
amO
PA D
irect
orM
edia
tor
King
Cou
nty
Offi
ce
of A
ltern
ativ
e Di
sput
e Re
solu
tion
Mediation Planning and Mediator Selection
Page 2 of 3
MediationContacts
complainant and suggests
voluntary mediation
Interested in mediation?
Sends out for signature an
Agreement to Mediate (form)
Yes
Signs Agreement to Mediate?
Go to Classification
No
Agrees to mediate?
Yes
Yes
NoRequests mediator
Provides case file and date requirements
Selects mediator
Coordinates mediator activities
Provides case file &
confidentiality agreement to the mediator
Notifies mediation schedule
Go toMediation Meeting
No
ContributorsOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process
shown on a different
page
Legend
© 2019 Seattle OIG07-01-2019
Mediation is cancelled, the case
goes back to classification (Intake
Flowchart 1-3). Where it can be classified as
investigation, supervisor action, etc.
2c-2
13 of 41
2C-2) Mediation MeetingN
amed
Em
ploy
ee
Chai
n of
Co
mm
and
Com
plai
nant
Nam
edEm
ploy
eeO
PA A
dmin
Tea
mO
PA D
irect
orM
edia
tor
King
Cou
nty
Offi
ce o
f Al
tern
ativ
e Di
sput
e Re
solu
tion
Mediation Meeting
Receives notification of
mediation closed
MediationMeeting
Shows up for
mediation?Yes
Shows up for
mediation?
Go to Classification
No
Yes
Explains mediation
process
Participates in mediation
Participates in mediation
Sets and communicates
rules for mediation
Dialogues with complainant and mediator
Dialogues with named
employee and mediator
Develops understanding
Fills a participants exit survey
(Conclusions)
Fills a participants exit survey
(Conclusions)
Fills a participants exit survey
(Conclusions)
Named Employee
participated in good faith?
Approves closing the
case
Yes
No
No
Updates case file and closes
caseEnd
ContributorsOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process
shown on a different
page
Legend
Start / End
Page 3 of 3
Mediation is cancelled, the case goes back to classification (Intake
Flowchart 1-3).Where OPA will define if it will be handled as Supervisor Action or
Administrative Investigation
© 2019 Seattle OIG07-01-2019
14 of 41
Disciplinary Process – Administrative Investigation Overview Map
Internal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
Director Certification
MemoFindings
Not Sustained
Closing180‐day notice
Closing
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
OPA Director or alternateclassifies Complaint
as Administrative Investigation
Assigns an investigation supervisor
Assigns an investigator
Plans investigation
Gathers perishable evidence
Investigation complete
Investigation sent for OIG certification
DCM OPA issues Director Certification Memo
Page 1 of 6
OPA certifies investigation
OIG certifies some or all of investigation for objectiveness, timeliness &
thoroughness
Discipline Meeting
FindingsSustained
Key Agents for Steps in Discipline
Labor & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Labor & Employee
City Attorney Office of Police Accountability (OPA)** Office of Inspector General (OIG) provides active oversight of OPA processes. In certain instances OIG will perform disciplinary process steps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney, OPA &Chain of Command
Office of Inspector General (OIG) © 2019 Seattle OIG
07-01-2019
Administrative Investigation
This map shows what happens if the complaint involves more than a minor violation of policy, but doesn't appear to be criminal, and the initial investigation by the Office of Police Accountability shows that the complaint may be sustained during a more intensive full investigation.
15 of 41
2D-1) Administrative Investigation PlanningO
PA L
ieut
enan
t or
Inve
stig
atio
n Su
perv
isor
Nam
edEm
ploy
eeO
PA D
irect
or /
Alte
rnat
eO
PA S
erge
ant/
Inve
stig
ator
Nam
ed
Empl
oyee
Ch
ain
of
Com
man
d
Go to Information Collection
Assigns investigator to
the case
Administrative Investigation
PlanningSends notice of administrative investigation
Receives notice of case
assigned
Reviews the complaint
Reviews materials collected
during Intake
Creates an investigation
plan
Any perishable evidence to
collect?
Collect perishable evidence
YesImplements investigation
plan
No
Identifies allegations &
issues to investigate
Identifies SPD manual policy
sections related to the
complaint
Identifies specific
violations alleged for
each named employee
More Investigation
Page 2 of 6
Receives notice of
administrative investigation
Receives notice of
administrative investigation
Legend
ContributorsOffice of Police Accountability (OPA)
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process shown on a
different page
Provides information
and interviews as requested
by OPA
See Workflow1) Intake
© 2019 Seattle OIG07-01-2019
16 of 41
2D-2) Administrative Investigation: Information CollectionO
PA L
ieut
enan
t or
Inve
stig
atio
n Su
perv
isor
Nam
edEm
ploy
eeO
PA D
irect
or /
Alte
rnat
eO
PA A
dmin
Te
amO
PA S
erge
ant/
In
vest
igat
or
Offi
ce o
f In
spec
tor
Gene
ral
Information Collection
Go to Investigation
Review
Documents related policies,
regulations and statutes
Identifies elements to
prove or disprove each
allegation
Updates case file
Frames complaints within SPD
policies language
Assesses available facts
and information
Reviews investigation in
progress
Documents all named
employees and all allegations
Ready for OPA
Director review?
Go to More InvestigationNo
Yes
Evaluates information
from investigation
Makes a recommenda-
tion for Certification
Page 3 of 6
Go toInvestigationSupervision
Sufficient elements to prove or
disprove each allegation?
Yes
No
Legend
ContributorsOffice of Police Accountability (OPA)
Work Process
To process shown on a
different page
Decision to be made
From process shown on a
different page
© 2019 Seattle OIG07-01-2019
Document
2D-1
2D-3
17 of 41
2D-3) Administrative Investigation: ReviewO
PA L
ieut
enan
t or
Inve
stig
atio
n Su
perv
isor
Nam
edEm
ploy
eeO
PA D
irect
or /
Alte
rnat
eO
PA A
dmin
Te
amO
PA S
erge
ant/
Inve
stig
ator
Nam
ed
Empl
oyee
Ch
ain
of
Com
man
d
Investigation Review
Go to Investigation Certification
Reviews Information
and recommenda-
tions
Case file complete?
Changes in allegations and/
or named employees?
YesInforms of required changes
Instructs changes to the case file and
new requirements
Receives instructions for changes to the case file and
new requirements
Yes
Approves to send case for
OIG certification
No
Implements changes to allegations
and/or named employees
Updates casefile
Identifies elements to
prove or disprove each
allegation and/or named employee
Reviews information
from investigation
Makes a recommenda-
tion for certification
Sends case for OIG’s
certification review
Page 4 of 6
Go toInvestigationSupervision
No
Sufficient elements to prove or
disprove each allegation?
Yes
No
Legend
ContributorsOffice of Police Accountability (OPA)
Work Process
To process shown on a
different page
Decision to be made
From process shown on a
different page
© 2019 Seattle OIG07-01-2019
Document
Notification Work
Process
2D-2
2D-4
18 of 41
2D-4) Administrative Investigation: OIG Investigation CertificationO
PA L
ieut
enan
t or
Inve
stig
atio
n Su
perv
isor
Nam
edEm
plo-
yee
OPA
Dire
ctor
/ Al
tern
ate
OPA
Ad
min
Te
am
OPA
Se
rgea
nt/
Inve
stig
ator
OIG
Sup
ervi
sor
Offi
ce o
f Ins
pect
or G
ener
al(O
IG)
Page 5 of 6
Receives notification for
case to be reviewed
Sufficient information to
certify investigation
timely?
Reviews case file
Sufficient information
to certify investigation thorough?
Sufficient information
to certify investigation
objective?
Request more information or investigation
to clarify timeliness
Request more information or investigation
to clarify thoroughness
No No
Request more information or investigation
to clarify objectiveness
No
Yes Yes
Certifies investigation as objective
Certifies investigation
thorough
Initiates final review of case
Sufficient information to
certify investigation complete?
Sufficient information
to certify Investigation thorough?
Sufficient information
to certify investigation
objective?
Certifies investigation
as timely
Yes
Yes
No
Yes
No
Sends memo to OPA with certification conclusions
Writes investigation certification notification
Reviews OIG investigation certification
No
Investigation Certification Within 10 days
from OIG receiving the case?
Accepts OIG request?
Provides clarification or
more investigation
Yes
No
Go to DCM
Sufficient information
to certify investigation?
Yes
No
Yes
Legend
ContributorsOffice of Police Accountability (OPA)Office of Inspector General (OIG)
Work Process
To process shown on a
different page
Notification Work
Process
Decision to be made
From process
shown on a different
pageTo process shown on the same
page
From process
shown on the same
page
© 2019 Seattle OIG 07-01-2019
Document
Yes
No
Investigation timely,
thorough and/or objective?
2D-5
19 of 41
2D-5) Administrative Investigation: Director Certification Memo (DCM)Di
scip
line
Com
mitt
ee
Nam
edEm
ploy
eeO
PA D
irect
or /
Alte
rnat
eO
PA A
dmin
Tea
mCi
ty A
ttorn
ey
Nam
ed
Empl
oyee
Ch
ain
of
Com
man
d
Offi
ce o
f In
spec
tor
Gene
ral
DCMReceives
notification of OIG
investigation certification
Findings type?
Writes Director Certification
Memo (DCM)
Distributes Director
Certification Memo (DCM)
Sends notifications
for upcoming discipline meeting
SUSTAINED
Gathers case file for
discipline meeting
Go to Sustained Findings
Receives Director
Certification Memo (DCM)
Receives Director
Certification Memo (DCM)
Receives Director
Certification Memo (DCM)
Receives Director
Certification Memo (DCM)
Receives upcoming discipline meeting
notification
Notifies complainant
NOT SUSTAINED
Closes case file End
Receives upcoming discipline meeting
notification
Page 6 of 6
ContributorsOffice of Police Accountability (OPA)Office of Inspector General (OIG)City Attorney
Work Process
Notification Work Process
Decision to be made
From process
shown on a different
page
Legend
End
© 2019 Seattle OIG 07-01-2019
Document
To process shown on a
different page
Receives “closed case summary”
Investigation Findings
Flowchart3-1
20 of 41
Disciplinary Process – Criminal Referral Overview Map
Internal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
Director Certification
MemoFindings
Not Sustained
Closing180‐day notice
Closing
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
Page 1 of 3
OPA Director or alternateclassifies complaintas criminal referral
Acceptscase
SPD Criminal Investigation Bureaureviews the case
King County Prosecutor(or alternate)
prosecutes case
Criminal case closed
Rejectscase
OPA proceeds with AdministrativeInvestigation
OPA notified of case rejection or closure
Discipline Meeting
FindingsSustained
Key Agents for Steps in Discipline
Labor & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Labor & Employee
City AttorneyOffice of Police Accountability (OPA)** Office of Inspector General (OIG) provides active oversight of OPA processes. In certain instances OIG will perform disciplinary process steps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney, OPA &Chain of Command
Office of Inspector General (OIG) © 2019 Seattle OIG
07‐01‐2019
Criminal Referral
This map shows what happens if the complaint appears to involve criminal conduct by an SPD employee.
21 of 41
2E-1) Criminal Investigation: SPD Criminal Investigation BureauO
PA A
dmin
Te
amSP
OG
/ SPM
A(L
abor
)O
PA D
irect
orCr
imin
al In
vest
igat
ion
Bure
au (S
PD)
OPA
Inve
stig
atio
n Su
perv
isor
180-day deadline for OPA investigationCriminal Investigation Referral to SPD Criminal Investigation Bureau
Page 2 of 3
Criminal Investigation
Referral
Go toAdministrative Investigation
Refers case for criminal
investigation
Classifies complaint as
criminal investigation
referral
Sends copy of case and
referral letter
Receives case file and referral
letter
Declines case
Notifies OPA that case was
declined
Accepts case Conducts investigation
Refer for prosecution?
Criminal case?
No
Yes
Updates case file with new information
Receives case file and case
declined letter
Reassigns case to OPA
investigation supervisor
Complaint received by OPA within
180 day deadline?
Yes
Requests extension to
180 day contract deadline(Timeline
tolled)
Sends confirmation of
the time-extension for
OPA Investigation
No
Accept request?
Adjusts new timelines for
administrative investigation
by OPA
Yes
No
No
Go toCase Referred
for Prosecution
Yes
ContributorsOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process
shown on a different
page
© 2019 Seattle OIG07-01-2019
Legend
Document
2D-1
2E-2
22 of 41
2E-2) Criminal Referral: ProsecutorO
PA
Adm
in
Team
SPO
G / S
PMA
(Lab
or)
OPA
Dire
ctor
Crim
inal
Inve
stig
atio
n Bu
reau
(SPD
)Pr
osec
utor
OPA
Inve
stig
atio
n Su
perv
isor
Criminal Referral Accepted by ProsecutorCriminal Referral Declined by ProsecutorPhase
Page 3 of 3
Case Referred for
Prosecution
Go toAdministrative Investigation
OPA investigation still pending?
Receives notifications
Sends copy of case and
referral letter
Updates case file with new information
Receives case file and letter
for case declined
Reassigns case to OPA
Investigation Supervisor
Requests extension to
180-day contract deadline(timeline tolled)
Send confirmation of
the time extension for
OPA Investigation
Accepts request?
Adjusts new timelines for
administrative investigation
by OPA
Yes
No
Receives criminal
referral and case file
Criminal case?
Declines the case
Notifies SPD that case was
declined
Accepts the case
No
Notifies SPD that case was
acceptedYes
Receives notification
Identifies when criminal case is
closed
Requests extension to
180-day contract deadline(Timeline
tolled)
Send confirmation of
the time-extension for
OPA Investigation
Yes
End
No
Adjusts new timelines for
administrative investigation
by OPA
ContributorsOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process shown on a
different page
© 2019 Seattle OIG07-01-2019
Legend
Document
Start / End
2D-1
23 of 41
Disciplinary Process – Proposed Discipline Overview Map
Internal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
FindingsNot Sustained
Closing180‐day notice
Closing
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
Director Certification
Memo
Page 1 of 5
DCM
FindingsNot Sustained
Closing180‐day notice
LoudermillHearing
For Suspension, Demotion, Transfer or
Termination only
Disciplinary Action Report (DAR)180‐day notice
DAR
No Loudermill HearingAll other disciplines
Director Certification
Memo
Key Agents for Steps in Discipline
Labor & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Labor & Employee
City Attorney Office of Police Accountability (OPA)** Office of Inspector General (OIG) provides active oversight of OPA processes. In certain instances OIG will perform disciplinary process steps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney, OPA &Chain of Command
Office of Inspector General (OIG)
Discipline Meeting
FindingsSustained
Discipline Meeting
FindingsSustained
© 2019 Seattle OIG07-01-2019
Proposed Discipline
This map shows what happens after a full administrative investigation by the Office of Police Accountability is certified complete. A Loudermill hearing is named after a Supreme Court case where public sector employees are granted the opportunity of a hearing before discipline is rendered.
24 of 41
3‐1) Proposed Discipline: from Director Certification Memo (DCM) to Planning Discipline MeetingOPA
Dire
ctor / Alternate
Nam
ed Employ
ee’s
Chain of Com
man
dDisciplin
e Co
mmittee
City Attorne
yDirector Certification Memo (DCM) to Discipline Meeting Planning and Preparation
Sustained Findings
Sends DCM with
recommended Sustained findings
Receives DCM with
recommended Sustained findings
Are there considerations?
Communicates considerations
to OPAYes
Reviews considerations/
issues
Clarifies & documents
considerations
Receives response to
clarifications/considerations
Schedules Discipline Meeting
Discipline Committee Members:OPA Director or DesigneeEmployee’s Chain of CommandSPD HR Executive DirectorCity Attorney
Receives Discipline Meeting
notification
Receives Discipline Meeting
notification
Receives Discipline Meeting
notification
Identifies similar cases and historic disciplinary outcomes
Identifies employee’s discipline
history
Reviews information
and prepares for Discipline
Meeting
Receives DCM with
recommended Sustained findings
Receives DCM with
recommended Sustained findings
Receives response to
clarifications/considerations
Reports similar cases, historic
disciplinary outcomes and
employee’s history
Reviews information
and prepares for Discipline
Meeting
No
Go to Discipline Meeting
Page 2 of 5
Legend
ContributorsSeattle City AttorneyOffice of Police AccountabilitySeattle Police Officers GuildSeattle Police Management Association
Work Process
To process shown on a different
page
Notification Work
Process
Decision to be made
From process
shown on a different
page
© 2019 Seattle OIG07-01-2019
25 of 41
3‐2) Proposed Discipline: Discipline MeetingOPA
Dire
ctor /
Alternate
Chief o
f Police
Disciplin
e Co
mmittee
City Attorne
yNam
ed Employ
ee’s
Chain of Com
man
dProposed Discipline and Loudermill Hearing AvailabilityDiscipline Meeting
Discipline Committee Members:OPA Director or DesigneeEmployee’s Chain of CommandSPD HR Executive DirectorCity Attorney
Discipline Meeting
Participates in the Discipline
Meeting
Participates in the Discipline
Meeting
Participates in the Discipline
Meeting
Deliberates over discipline
Participates in the Discipline
Meeting
Changes Findings? Yes
Coordinates discipline
meeting case file distribution
Amends DCM with new Findings
Distributes new DCM
Agrees with OPA’s DCM?
Recommends a range of discipline (proposed discipline)
Writes a disagreement
document(Included in
recommended discipline)
No
Yes
Yes
Receives proposed discipline
Receives proposed discipline
No
No
Recommended discipline is
suspension, transfer, demotion or discharge?
Go toLoudermill
Hearing
Go toFinal
Discipline
Page 3 of 5
Legend
ContributorsSeattle City AttorneyOffice of Police Accountability
Work Process
To process shown on a
different page
Notification Work
Process
Decision to be made
From process shown on a
different page
© 2019 Seattle OIG07-01-2019
3‐3
3‐4
26 of 41
3‐3) Proposed Discipline: Loudermill HearingSP
OG / SPMA
(Lab
or)
Nam
ed Employ
eeOPA
Dire
ctor /
Alternate
Chief o
f Police
Disciplin
e Co
mmittee
City Attorne
yPost Loudermill Hearing Procedures before DARLoudermill Hearing Planning Loudermill Hearing
Loudermill Hearing
Recommended discipline is
suspension, transfer, demotion or discharge?
Communicates of hearing availability
Yes
Requests further
investigation by OPA?
Receives request of
further investigation
Yes
Receives notification of
hearing availability
Receives notification of
hearing availability
Receives notification of
hearing availability
Provides new information
and evidence to aid final decision
OPA Investigator
gathers required
information
Analyzes findings and
recommended discipline
No
Accepts hearing?
Accepts proposed discipline
Go to Grievance
No
No Go to Final DisciplineYes
Yes
No
Go to DAR
Go toFinal
Discipline
Informs Chief of Police of
hearing option (Loudermill)
Schedules and convenes Loudermill (hearing)
Presides over Loudermill
Participates in hearing
Participates in hearing
Participates in hearing
Participates in hearing
Participates in hearing
Discipline Committee Members:OPA Director or DesignateEmployee’s Chain of CommandSPD HR Executive DirectorCity Attorney
Page 4 of 5
Legend
ContributorsSeattle City AttorneySeattle Police Department Office of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process shown on a
different page
© 2019 Seattle OIG07-01-2019
3‐4
3‐4
3‐4
3‐4
From 3‐2
27 of 41
3‐4) Proposed Discipline: Disciplinary Action ReportSP
OG / SPMA
(Lab
or)
Nam
ed
Employ
ee
OPA
Director /
Alternate
Chief o
f Police
Nam
ed
Employ
ee’s
Chain of
Comman
d
Disciplin
e Co
mmittee
City Attorne
yHu
man
Re
sources
Final Discipline and Initial filing of GrievanceDisciplinary Action Report (DAR)Disagrees with OPA Recommended Findings
DAR
Communicates Disciplinary
Action Report (DAR)
Receives notification of final discipline
Receives notification of final discipline
Receives notification of final discipline
Receives notification of final discipline
Receives notification of final discipline
Receives notification of final discipline
Agrees with recommended
findings
Writes a Disciplinary Action Report (DAR)
with proposed discipline
Yes
No
Issues Disciplinary
Action Report
Decides what is the adequate
discipline for the case
Wants to file a
grievance?
Go to Grievance
subprocessYes
Implements recommended
discipline
No
Final Discipline
Grievance Filing
Suspension, demotion, transfer,
discharge?
Records and reports results
End
Implements HR procedures
according to the DAR
Yes
NoDiscipline Committee Members:OPA Director or DesignateEmployee’s Chain of CommandSPD HR Executive DirectorCity Attorney
Communicates reasons for
disagreement
Communicates to the Mayor and City Council
reasons for disagreement with
recommended findings from OPA
Receives notification
Page 5 of 5
Legend
ContributorsSeattle City AttorneySeattle Police Department Office of Police Accountability
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process shown on a
different page
End
© 2019 Seattle OIG07-01-2019
5‐1
From 3‐3
From 3‐3
From 3‐3
28 of 41
Disciplinary Process ‐ Grievance Overview Map
DAR
Final DisciplineImplemented
Disciplinary Action Report (DAR)
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
AcceptsRemedy
SPOGMember
Transfer, oral or written reprimands
Oral or written reprimands, “sustained” findings not accompanied by formal disciplinary measures
Suspension, demotion, termination or transfer
Chief of Police
respondsto Grievance
after Director of
Labor Relations provides
recommen‐dations
Chain of CommandResponds
to Grievance
PursuesGrievance
ResponseAccepted
Chief of Policeresponds
PursuesGrievance
AcceptsRemedy
AcceptsRemedy
Chain of Commandresponds
SPMAMember
Suspension, demotion or termination
Internal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
FindingsNot Sustained
Closing180‐day notice
Closing
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
Director Certification
Memo
Page 1 of 6
Discipline Meeting
FindingsSustained
Key Agents for Steps in Discipline
Labor & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Labor & Employee
City Attorney Office of Police Accountability (OPA)** Office of Inspector General (OIG) provides active oversight of OPA processes. In certain instances OIG will perform disciplinary process steps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney, OPA &Chain of Command
Office of Inspector General (OIG) © 2019 Seattle OIG
07‐29‐2019
Grievance
This map shows what happens once the final proposed discipline is determined and the employee has the option of accepting the discipline or filing a grievance to appeal the discipline through arbitration.
29 of 41
4-1) Grievance filing type decisionN
amed
Empl
oyee
Nam
ed E
mpl
oyee
Cha
in o
f Co
mm
and
SPO
G / S
PMA
(Lab
or)
Grievance filing SPOG & SPMA members
Labor Grievance Committee
Grievance Decides to challenge discipline
Yes
Acknowledges employees
intention to file grievance Decides to file
grievance for the employee?
No
Within 30 calendar
days from DAR?
Labor affiliation?YesYes
Grievance is dismissed due
timeliness
No
Go toFinal
Discipline(3-4)
No
Go toSPOG Step 3 SPMA Step 2
SPOG No
Suspension, demotion or termination?
SPMA
Yes
Suspension, demotion, transfer or
termination?
Yes
No
Informs of grievance dismissal
Go to SPOGStep 1
Go toSPMA Step 1
Page 2 of 6
Receives notification of
grievance dismissal
Grievancedismissed
Legend
ContributorsSeattle City AttorneyOffice of Police AccountabilitySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
To process shown on a
different page
Committee Decision to be made
From process shown on a
different page
© 2019 Seattle OIG07-28-2019
Discipline A
4-2
4-3-a
4-3-c
30 of 41
4-2) Disciplinary Grievance for suspension, demotion, transfer or termination. SPOG: Step 3, SPMA: Step 2N
amed
Em
ploy
ee
Chai
n of
Co
mm
and
SPO
G / S
PMA
(Lab
or)
Nam
edEm
ploy
ee
SPD
Hum
an
Reso
urce
s Di
rect
or
Chie
f of P
olice
/ De
signe
eCi
ty D
irect
or o
f Lab
or
Rela
tions
hips
SPOG: Step 3, SPMA: Step 2
SPOG Step 3 / SPMA Step 2
No
Suspension, demotion, transfer or
termination?
Yes
Go to SPOG Step 1
Crafts a written grievance
Submits written
grievance
Receives written
grievance
Receives copy of written grievance
Within 15 calendar days from Step 2 or 30 days from
DAR?
Grievance is dismissed due
timeliness
Investigates the grievanceYes
No
Convenes a meeting between grievance
parties
Go to GrievanceDismissed
Makes a recommendation
Receives recommendation
Makes written desision
Receives copy of written decision
Receives written
decision
Receives written
decision
Resolved in Step 3?
Move to arbitration?
No
Go to Arbitration
Yes
No
Go to Final Discipline
Informs of grievance dismissal
Yes
Page 3 of 6
Legend
ContributorsSeattle City AttorneyOffice of Police AccountabilitySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process shown on a
different page
© 2019 Seattle OIG07-28-2019
4-3-a
4-1
5-1
3-4
31 of 41
4-3-A) Contract Grievance for discipline that does not include suspension, demotion, transfer or termination. SPOG: Step 1 SP
OG
/ SPM
A (L
abor
)N
amed
Empl
oyee
City
Dire
ctor
of L
abor
Rel
atio
nshi
psN
amed
Em
ploy
ee C
hain
of
Com
man
dSPOG Step 1 ResolutionSPOG Step 1, Contract Grievance
Submits written
grievance
Receives written
grievance
Within 30 calendar
days from DAR?
Answers the grievance (within 15 calendar days
of receiving written grievance)
Yes
Receives answer
Receives answer
Resolved in Step 1?
Go to SPOG Step 3 / SPMA Step 2
Yes
Suspension, demotion, transfer or
termination?
No
SPOG:Step 1
Grievance is dismissed due
timeliness
No Go to Final Discipline
Informs of grievance dismissal
Labor affiliation?
Suspension, demotion or termination?
SPOG
SPMA
Wants to pursue the grievance?
Yes
No
Implements agreed
resolution
Stops pursuing the grievance
No
Go to SPOGStep 2
Yes
Yes
Go to SPMA:Step 1No
Page 4 of 6
No
Transfer only for SPOG
members
Wants to pursue the grievance?
Yes
Go to Grievancedismissed
Legend
ContributorsSeattle City AttorneyOffice of Police AccountabilitySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process shown on a
different page
© 2019 Seattle OIG07-28-2019
4-2
4-3-c
3-4
4-3-b
32 of 41
4-3-B)Contract Grievance for Discipline that does not include suspension, demotion, transfer or termination. SPOG: Step 2SP
OG
/ SPM
A (L
abor
)N
amed
Empl
oyee
City
Dire
ctor
of L
abor
Re
latio
nshi
ps
Nam
ed E
mpl
oyee
Ch
ain
of
Com
man
dCh
ief o
f Pol
ice /
Desig
nee
SPOG Step 2 ResolutionSPOG Step 2, Contract Grievance
Submits written
grievance
Receives written
grievance
Within 30 calendar
days from DAR?
Answers the grievance
(within 15 calendar days of receiving written grievance)
Yes
Receives answer
Receives answer
Resolved in Step 2?
SPOG Step 2
Grievance is dismissed due
timelinessNo
Go to Final Discipline
Informs of grievance dismissal
Wants to pursue the grievance?
Yes
No
Implements agreed
resolution
Stops pursuing the grievance
No
Yes
Go to SPOG Step 3 / SPMA Step 2
Receives copy of written grievance
Pursues Step 2 of Contract Grievance
Page 5 of 6
Wants to pursue the grievance?
No
Yes
Go to Grievancedismissed
Legend
ContributorsSeattle City AttorneyOffice of Police AccountabilitySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process shown on a
different page
© 2019 Seattle OIG07-28-2019
4-2
3-4
33 of 41
4-3-C) SPMA Grievance for discipline that does not include suspension, demotion or termination. SPMA: Step 1 (Agreement: 15.1)SP
D H
uman
Res
ourc
es D
irect
orSP
OG
/ SPM
A (L
abor
)N
amed
Empl
oyee
Nam
ed E
mpl
oyee
Cha
in o
f Co
mm
and
SPMA: Step 1 (Written Grievance)Initiates Step 1 Pre-Grievance meeting
Submits written
grievance
Receives written
grievance
Within 30 calendar
days from DAR?
Answers the grievance
(up to15 calendar
days)
Yes
Receives answer
Receives answer
Resolved in Step 1?
Go to SPOG Step 3 / SPMA Step 2
Yes
Suspension, demotion,
or termination?
No
SPMA:Step 1
Grievance is dismissed due to timeliness
No
Informs of grievance dismissal
SPMA
Wants to pursue the grievance?
Stops pursuing the grievance
Go to SPOG Step 3 / SPMA Step 2
Response to contract
grievance?
Pre-GrievanceMeeting
Submits written
summary of the issue
Requests a pre-grievance
meeting
Reviews written
summary of the issue
Reviews written
summary of the issue
Holds pre-grievance meeting
Answers grievance
Written grievance step 1
Receives answer
Receives answer
Go to Final Discipline
Implements agreed
resolution
Yes
Go to Resolution Resolution
Yes
No
Page 6 of 6
No
Go to Grievancedismissed
Legend
ContributorsSeattle City AttorneyOffice of Police AccountabilitySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
To process shown on a
different page
Decision to be made
From process shown on a
different page
To process shown on the same
page
Notification Work Process
From process shown on the
same page
© 2019 Seattle OIG07-28-2019
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Disciplinary Process ‐ Arbitration Overview Map
Internal Complaint Public Complaint
Preliminary Investigation
DCM
Intake5‐day notice
Complaint Classification30‐day notice
ClosingDirector Certification Memo
Closing
OPARecommendations
SupervisorAction
CoCInvestigationComplete
Certification
ExpeditedInvestigation
ContactLog
Closing
Reports Steps & Results
Remedial Steps
Exit Surveys& Results
AdministrativeInvestigation
InvestigationComplete
CriminalReferral
Criminal Case Closed
Certification
DCM
FindingsNot Sustained
Closing180‐day notice
Closing
LoudermillHearing
Final DisciplineImplemented
Disciplinary Action Report (DAR)180‐day notice
Employee or Labor Files Grievance
Employee Accepts Proposed Discipline
ArbitrationGrievance Dropped orDismissed
Mediation
DAR
No Loudermill Hearing
AcceptsRemedy
Mediation Meeting
Director Certification
Memo
Page 1 of 7
Discipline Meeting
FindingsSustained
Schedules Arbitration
Employee wants to go to Arbitration
Files with Labor Files with PSCSC
Labor files for
Arbitration
Labor does not file
Schedules Arbitration
Select Arbitrators
Arbitration hearing
Remedy
City Appeal (optional)
Dismissed for timeliness
Arbitration Hearing
Remedy
Closing
City Appeal (optional)
PSCSC registersArbitration
Arbitration
This map shows what happens if the employee appeals the discipline through arbitration. Arbitration seeks to resolve disputes over discipline outside of the court system. An arbitrator is selected by both the City Attorney's office and either employee's labor union or the Public Safety Civil Service Commission (PSCSC)
© 2019 Seattle OIG07-17-2019
Key Agents for Steps in Discipline
Guild & Employee
King County Prosecutor and SPD Criminal Investigation Bureau
Dashed lines represent investigations
Chief of Police
Chief of Police & Chain of Command
Chain of Command (CoC)(not Chief of Police)
City Attorney, Guild & Employee
City Attorney Office of Police Accountability (OPA)** Office of Inspector General (OIG) provides active oversight of OPA processes. In certain instances OIG will perform disciplinary process steps in lieu of OPA.
Chief of Police & City Director of Labor Relations
City Attorney &Chain of Command
Public Safety Civil Service Commission (PSCSC)
City Attorney & PSCSC City Attorney, PSCSC & Employee
35 of 41
5-1) Arbitration FilingN
amed
Em
ploy
ee
Chai
n of
Co
mm
and
SPO
G / S
PMA
(Lab
or)
Nam
edEm
ploy
eeCi
ty A
ttorn
ey
Publ
ic Sa
fety
Ci
vil S
ervi
ce
Com
miss
ion
(PSC
SC)
Arbi
trato
r fro
m
Appr
oved
Po
olSPOG: Step 4, SPMA: Step 3
Arbitration Proceeds with
Appeal?
Yes
Implements agreed
discipline
No
Go to Final Discipline
Files for arbitration
Receives request for arbitration
Receives Request for discipline
appeal (arbitration)
Within 30 calendar days
from SPOG: Step 4
SPMA: Step 3 or DAR?
Dismisses grievance
No
Registers appeal request
Yes
Communicates dismissal
Notifies to PSCSC
existence of dual filings
Labor conducting arbitration?
Drops the caseCoordinates
appeals under PSCSC rules
Yes
No
Go to PSCSC Appeals
Move to arbitration?
Votes to approve move to SPOG: Step 4 or
SPMA: Step 3 (
Reviews OPA case file
Suspension, demotion,
terminationSPOG only: transfer?
Yes (Discipline Grievance)
Reviews caseNo
(Contract Grievance)
Communicates dismissal
Files for arbitration
Yes
Go to Final Discipline
No
Yes
Within 10 calendar days from Step 3 or
DAR?
Dismisses grievanceNo Go to STOP
GrievanceCommunicates
dismissal
Yes
STOP Grievance
Registers Labor as Arbitration
Representative
Go to Labor Arbitration Planning
Proceeds with
PSCSCAppeal?
No
Yes
ContributorsSeattle City AttorneySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process
shown on a different
page
To process shown on the
same page
From process shown on the
same page
Legend
Page 2 of 7
Within 10 days from DAR issue
SPOG: Step 4SPMA: Step 3
Includes grievance &
remedy pursued by Labor
Public Safety Civil Service
Commission
© 2019 Seattle OIG07-17-2019
36 of 41
5-2) Labor-Initiated Arbitration N
amed
Em
ploy
ee
Chai
n of
Co
mm
and
SPO
G / S
PMA
(Lab
or)
Nam
edEm
ploy
eeCi
ty A
ttorn
eyAr
bitra
tor f
rom
App
rove
d Po
olArbitration Hearing. (SPOG: Step 4, SPMA: Step 3)Arbitration planning Arbitrator Selection
Labor Arbitration Planning
Plans arbitration
Initiates selection of
arbitrator and arbitration schedule
Initiates selection of
arbitrator and arbitration schedule
Schedules hearing dates
Compiles case file
Reviews for other contract
violations besides just
cause
Notifies if other contract
violations found
Starts arbitrator selection
Go toArbitrator Selection
Arbitration (hearing proceeds section)
Both Labor and City
Attorney can initiate
arbitrator selection
and arbitration scheduling.
There are no deadlines
for this step.
Conducts arbitration
hearing
Determines if Chief’s
disciplinary decision is fair and complies
with agreement
Determines remedy to the
grievance
Records arbitration outcomes
Go toPost
Arbitration
Page 3 of 7
Labor and City
Attorney select the arbitrator
following a method
described on 5-B
ContributorsSeattle City AttorneySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
To process shown on a
different page
From process
shown on a different
page
Legend
© 2019 Seattle OIG07-17-2019
Selection of arbitrator
explained on5-4
Comes from 5-B
37 of 41
5-2-A) Post-Arbitration to WritN
amed
Em
ploy
ee
Chai
n of
Com
man
dSP
OG
/ SPM
A (L
abor
)N
amed
Empl
oyee
City
Atto
rney
Post-Arbitration
Go toPost
ArbitrationRecords
arbitration outcomes
Complies with SPOG/
SPMA Contract?
Complies with SPD and City Policies?
YesContests
arbitration results (Writ)
No
No
Implements arbitration
remedy
Yes
EndFollows up writ with the Court
Communicates arbitration outcomes
Receives notification
Receives notification
Receives notification
Provides documentation and evidence for the Writ
Notifies of Writ outcomes
Receives notification
Receives notification
Receives notification
Page 4 of 7
ContributorsSeattle City AttorneySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
Notification Work Process
Decision to be made
From process
shown on a different
page
Legend
Start / End
© 2019 Seattle OIG07-17-2019
38 of 41
5-3) Public Safety Civil Service ArbitrationN
amed
Em
ploy
ee
Chai
n of
Com
man
dN
amed
Empl
oyee
City
Atto
rney
City
Dire
ctor
of
Labo
r Re
latio
nshi
ps
Publ
ic Sa
fety
Civ
il Se
rvic
e Co
mm
issio
n(P
SCSC
)PSCS arbitration, rules of practice and procedures articles 6 & 7
Go to Final Discipline
PSCSC Appeals Conducts an
initial reviewNotifies appeal
pending
Receives notification of
appeal pending
Receives notification of
appeal pending
Receives notification of
appeal pending
Receives notification of
appeal pending
Serves all orders, notices and documents
related to the appeal
Participates in the discovery
process by providing case file to PSCSC
Reviews case file Selects arbitrator
Conducts arbitration
hearing
Determines if the Chief’s
disciplinary decision is fair and compliant with contract
Determines remedy to grievance
Records arbitration outcomes
Complies with Bargain
Contract?
Complies with SPD and City policy?
Yes
Contests arbitration
results
No
No
Implements arbitration
remedy
Yes
Schedules hearing dates
Selects arbitrator
Go to Post-Arbitration
Page 5 of 7
ContributorsSeattle City AttorneySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
To process shown on a
different page
Notification Work Process
Decision to be made
From process
shown on a different
page
Legend
© 2019 Seattle OIG07-17-2019
3-4
39 of 41
5-4) Arbitrator Selection for Each Arbitration Hearing Between the City and the Labor (SPOG or SPMA)SP
OG
/ SPM
A (L
abor
)Ci
ty A
ttorn
eyArbitrator selection per case
Arbitrator Selection
Go to Arbitration
(hearing proceeds section)
Receives notification of
arbitration filing
Registers and compiles case-
file
Who picks first?
Requests arbitrator selection
Reviews the arbitrators
approved list
Labor’s turn to go first
Strikes or accepts top name on the
list?
Identifies selection order,
alternating method
City’s turn to Go first
AcceptsTop of the list
Same name remains on top
of the list
Strikes or accepts top name on the
list?
The second name of the
initial list becomes top
of the list
StrikesTop name of the list
AcceptsTop of the list
Same name remains on top
of the list
The second name of the current list
becomes top of the list
StrikesTop name of the list
Name on top of the list is chosen to conduct
arbitration
Yes
Has Labor used its turn to choose?
No
Updates the list
Page 6 of 7
ContributorsSeattle City AttorneySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
Decision to be made Document
Legend
To process shown on a
different page
From process
shown on a different
page
© 2019 Seattle OIG07-17-2019
See Procedure for Selecting
Arbitration Pool (Workflow: 5-B)
40 of 41
5-5) Arbitrator Selection for the ContractSP
OG
/ SPM
A (L
abor
)Ci
ty A
ttorn
ey (A
AA) /
(FM
SC)
Arbitrator List for the duration of the contract (SPOG – SPMA)
Start
Signs a new collective
bargaining contract
Initiates the selection of the
new pool of arbitrators
Schedules new arbitrators
pool selection
Identifies arbitrators from the approved sources.
Identifies arbitrators from the approved sources
Provides list of approved arbitrators
associated with their
organization
Selects 10 arbitrators
from the total pool
Selects 10 arbitrators
from the total pool
Who picks first?
Reviews the arbitrators
approved list
Labor’s turn to go first
Strikes or accepts top name on the
list?
Identifies the arbitrators chosen by
both parties
City’s turn to Go first
AcceptsTop of the list
Same name remains on top
of the list
Strikes or accepts top name on the
list?
Second name of the initial list becomes top
of the list
StrikesTop name off the list
AcceptsTop of the list
Same name remains on top
of the list
Second name of the current list becomes top of the list
StrikesTop name off the list
Name on top of the list is
chosen for the pool
Yes
Has Labor used its turn to choose?
No
Updates the list
Consolidates the Final
Arbitrators Pool List
Includes the previous
arbitrators in the Final
Arbitrators Pool List
Initiates selection of remaining proposed arbitrators
Yes
Has each party
eliminated two
candidates?
No
American Arbitration Association (AAA) /Federal Mediation and Conciliation Service
(FMSC)
Keeps records of the
arbitrators list for the
Contract
End
Page 7 of 7
ContributorsSeattle City AttorneySeattle Police Officers Guild (SPOG)Seattle Police Management Association (SPMA)
Work Process
Notification Work Process
Decision to be made
DocumentStart/End
Legend
© 2019 Seattle OIG07-17-2019
41 of 41