A. Purpose |
A relationship of trust and confidence between employees
of the Department of Professional & Financial Regulation and the
communities that they serve is essential to the effective operation
of state government. Department employees must be free to exercise their
best judgment in the performance of their duties. Department employees
also have a special obligation to respect the rights of all persons.
The Department of Professional & Financial Regulation acknowledges
its responsibility to establish a complaint system and procedures that
not only will subject department employees to corrective action when
improper conduct has occurred, but that will also protect department
employees from unwarranted or spurious criticism when they discharge
their duties properly. The purpose of these procedures is to provide
prompt, just, and open disposition of complaints regarding the conduct
of department employees in their interactions with the public. |
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| It is the policy of the Department of Professional
& Financial Regulation to encourage the public to comment
when the conduct of the employee is believed to be improper.
The Department of Professional & Financial Regulation
will make every effort to ensure that no adverse consequences
occur to any person or witness as a result of having brought
a complaint or for providing information concerning a complaint.
Any department employee who subjects a complainant or witness
to such recrimination will be subject to appropriate disciplinary
action. |
How
to File a Personnel Complaint |
Complaints, relating to personnel at the
Department of Professional & Financial Regulation,
can be lodged in person, by mail, electronically, or by
telephone, directly to the Department’s HR Director. The Department HR Director’s name
and addresses are:
Physical address:
Susan Bell
HR Director
Securities and Employment Service Center
45 Commerce Center Drive, Suite 4
Augusta, ME 04333-0108
Mailing address:
Susan Bell
HR Director
Securities and Employment Service Center
State House Station #108
Augusta, ME 04333-0108
Tel: (207) 624-6700
Fax: (207) 287-3042
TTY: (207) 624-8563
E-mail: Susan.Bell@maine.gov
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B. Procedure
- The Department of Professional & Financial Regulation
encourages the public to bring forward legitimate complaints
regarding misconduct by its employees. To this end, a copy of
“HOW TO FILE A PERSONNEL COMPLAINT” will be posted
at the public entrances to the department’s worksite and
on department websites and will be given to anyone requesting
this information. Complaints, regardless of nature, can be lodged in person,
by mail, or by telephone.
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- Any employee of the Department of Professional & Financial Regulation
who receives a complaint from the public against any department employee
shall, as soon as practicable, notify Susan Bell, HR Director, of the details of the complaint for evaluation and assignment.
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- Upon receipt of a complaint, the Department's HR Director shall
determine whether the complaint should be investigated and by whom.
Complaints of criminal conduct should be forwarded to the Bureau of
Employee Relations to ensure cooperation with appropriate law enforcement
authorities.
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- Investigations of complaints shall be completed within
a reasonable time.
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- It is the responsibility of the investigator to thoroughly
and confidentially investigate the matter and, when appropriate, to
submit a complete and accurate investigation report. In the event a
report is warranted, all relevant information obtained by the investigator
shall be included.
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- All investigations shall comply with the provisions
of the applicable collective bargaining agreement.
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C. Report |
- When applicable, the report shall include a summary
of interviews with the complainant, synopsis, finding(s) of fact, chronology
of the investigation, and documentation of compliance with the employee’s
contractual rights.
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- Recommendations regarding the disposition of an investigation
or discipline generally are not included in the investigation report.
Such recommendations should only be included in consultation with the
appointing authority.
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D. Notification to the complainant |
- Upon final disposition, the complainant will be notified
of the outcome of the investigation to the extent permitted by civil
service and department confidentiality laws.
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E. Administrative responsibilities |
- The Department's HR Director shall ensure that:
- All citizen complaint records and investigations remain confidential
as allowed or required by statute.
- Each complaint and corresponding investigation is documented.
- An annual summary report is prepared for the department head that
includes statistical data that will aid in identifying the possible
need for training, supervision, or other pertinent issues.
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