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Sgts Study > 10.4 > Flashcards

10.4 Flashcards

1
Q

The commander shall decide the overall classification of each complaint, based upon — —- ——- ———- —- during any stage of the investigation and the overall circumstances of the complaint

A

the most serious allegation made

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2
Q

A finding is a conclusion supported by:
A) a preponderance of the evidence leading to a belief that it is more likely than not.
B) a preponderance of all available evidence adequate to lead a reasonable and prudent person to reach the same conclusion.
C) a preponderance of the evidence leading to 51% or more weight toward a certain occurrence.

A

B)

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3
Q

The five findings in a citizens complaint are:

A

1) sustained
2) exonerated
3) no finding/undetermined
4) Departmental
5) unintentional error

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4
Q

Unintentional Error occurs when:

A

The act (or omission) did occur and it is deemed improper, but was the result of an employee’s honest mistake

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5
Q

Undetermined/No Finding occurs when:

A

Used only when the evidence, or lack thereof, precludes the investigator from making a definitive judgment.

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6
Q

Departmental finding is used when:

A

the employee’s actions are fully in compliance with Department policy and/or procedure, but the policy or procedure itself is found to be erroneous or is the cause of the complainant’s concerns. ***Departmental is also the only allowable finding for Departmental complaints

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7
Q

Citation Validity is normally a Category II complaint, a citation validity allegation (shall/should/may) be processed as an ‘Other’ complaint if there are no other allegations by the complainant.

A

May

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8
Q

In departmental complaint cases, what shall be listed as the employee on the CHP 240?

A) California Highway Patrol
B) Departmental
C) Departmental Policy
D) Department

A

D) “Department”

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9
Q

A Departmental complaint should be documented as what category complaint

A

an Other complaint.

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10
Q

The ———– —- is a reference file maintained by the Bureau of Internal Affairs of complainants who have demonstrated a propensity for filing numerous false or frivolous complaints.

A

Information File

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11
Q

A complaint made to this Department concerning the policies, procedures, or employee conduct of another agency’s a(n):

A) Other Agency Complaint
B) Non-Departmental complaint
C) Allied Agency complaint
D) Outside Agency Complaint

A

A) Other Agency Complaint

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12
Q

A complainant’s request to rescind a complaint (does/does not) relieve the commander from the responsibility to determine the validity of the allegations

A

Does not

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13
Q

Vehicle Storage/Impound Complaint is a complaint that involves the validity of a vehicle storage or impound, and is not related to employee misconduct. These (may be/are not) accepted as citizens’ complaints…

A

Are not

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14
Q

All complainants shall be acknowledged by correspondence within (#) (type) days of the Department’s notification of the complaint

A

5 business

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15
Q

the complainant shall be requested to return the CHP 240B or CHP 240D within:

A

ten (10) business days.

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16
Q

Citizen complaint investigations concerning off duty conduct shall be restricted to instances where a:

A

clear connection or nexus to employment by this Department has been made by the employee

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17
Q

Situations in which a citizens complaint of off duty conduct by an employees may warrant investigation under HPM 10.2 include: (looking for 3 conditions)

A
  • allegations of illegal conduct (excepting infractions),
  • actions of a highly questionable nature or which bring discredit to the Department,
  • or when a commander deems an investigation to be in the best interests of the Department.
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18
Q

T/F

A citizens complaint may be filed against a uniformed or non-uniformed member of the department via the Departmental website.

A

False, only against non-uniform

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19
Q

The responsibility to investigate a citizen’s complaint rests with the current commander of the Area/Section to which the involved employee was
/is assigned:
A) currently
B) at the time the incident occurred

A

B

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20
Q

T/F

addition, with the concurrence of the commander, the limited use of acting sergeants or Officers-In-Charge to assist with specific facets of an investigation is permitted.

A

True

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21
Q

T/F
For uniformed employees assigned to special assignments under allied supervision, it may prove more practical to coordinate the investigation and documentation of any complaints with the employee’s special assignment supervisor. However, In no event shall the responsibility be relinquished to any outside agency.

A

True

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22
Q

A chronological log is only required in which type of CC Investigation?

A

Category I, but encouraged for all

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23
Q

T/F

An employee is not entitled to representation during a CC interview.

A

False: If the complaint investigation is of a serious nature, and/or the facts indicate adverse action may reasonably result, the employee shall be afforded the right to representation, but not routinely afforded when above is not met

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24
Q

T/F

A belief on the employee’s part that adverse action is being considered, irrespective of the interviewer’s designs or intentions, may be sufficient grounds to warrant granting representation rights.

A

True

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25
Q

Statements by complainants and witnesses (shall/should/may) be recorded in potentially serious cases, as determined by the commander.

A

Shall, encouraged for all cases

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26
Q

T/F

If consent is not granted by the employee, and the investigator believes obtaining a recorded statement is absolutely necessary, then an Administrative Interrogation must be held.

A

True

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27
Q

The employee’s complaint history (shall/shall not) be examined in order to determine the existence of previous complaints which would be relevant to the current investigation.

A

Shall

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28
Q

T/F

Investigators should use specific references to previous complaints in their findings section in order to prove the link between incidents.

A

False: in the event an investigation is released through legal discovery, specifically identified previous complaints may then also become discoverable. Accordingly, it is recommended that only generic statements be made regarding previous complaint findings, unless a more specific reference is warranted to support a particular finding.

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29
Q

The method used to obtain the evidence and its relevance to the investigation in a Category I Complaint should be documented under which heading:

A) Evidence
B) Complaint Summary
C) Chronological Summary
D) Other Factual Information

A

C) Chronological Summary

and then included as an exhibit in the investigative file.

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30
Q

The method used to obtain the evidence and its relevance to the investigation in a Category I Complaint should be documented under which heading:

A) Evidence
B) Complaint Summary
C) Chronological Summary
D) Other Factual Information

A

B) Complaint Summary

and then included as an exhibit in the investigative file.

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31
Q

T/F

An administrative interview is a form of evidence.

A

True: And as such, any tapes of interrogations or witness interviews should be stored in the command’s evidence storage site, with the CHP 36, Evidence/Property Receipt/Report, included as an investigation exhibit.

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32
Q

Evidence pertaining to an citizens complaint investigation conducted in accordance with this manual shall be stored for a period of: beginning with the date:

A

five years

the complaint is filed

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33
Q

To ensure evidence is not inadvertently destroyed prematurely, the CHP 36 (shall/should/may) be annotated with the appropriate date of destruction when the evidence is stored.

A

Shall

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34
Q

Which command shall the evidence from a CC investigation be stored after an employee transfers?

A

Evidence shall remain in the command which originally completed the investigation, regardless of any subsequent transfers of the involved employees

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35
Q

Any existing audio and/or video recordings made by uniformed employees relating to any enforcement activity (shall/should/may) be provided to the Department upon request.

A

Shall

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36
Q

Complaints with allegations of criminal misconduct which have been given a finding of Sustained or Unintentional Error (shall/should/may) be referred to the respective prosecuting district attorney’s office for review.

A

Shall….and ALL complaints meeting this criteria

37
Q

T/F

This finding shall be based on a thorough and complete review of the facts of the complaint, and shall not include opinions based solely on the investigator’s judgment and experience.

A

False: This finding shall be based on a thorough and complete review of the facts of the complaint, and MAY ALSO include opinions based on the investigator’s judgment and experience.

38
Q

T/F

The finding for a combined allegation shall be the most severe finding from any one of the instances, based on the order of severity specified above

A

True

39
Q

The classification of a given complaint is determined by two factors:

A

highest category allegation and the investigation circumstances.

40
Q

Other complaints include the following four types of complaints:

A

Rescinded, frivolous, Departmental, and citation validity only may be documented as determined by commander

41
Q

The —— narrative format shall be used for all Category I and II complaints, and the —– narrative format for all complaints classified as Other.

A

Formal

Other

42
Q

T/F

For complaints to who request confidentiality, the complainant’s identifying information shall be typed on a separate document and placed in a sealed envelope attached to the investigation.

A

True

43
Q

T/F

Control numbers for complaints are assigned by BIA.

A

False, assigned by the investigating command unless the complaint originates from BIA

44
Q

If a command forwards a complaint to another command by telephone, these three items shall be recorded in the Remarks section.

A

the name and rank of the person accepting the complaint, as well as the date,

45
Q

T/F

Additionally, issues submitted to the district attorney, or any employee misconduct or other peripheral issues not alleged by the complainant, but discovered during the investigation shall be discussed in the recommendation section. The discovery of such information should not be discussed with the complainant.

A

True

46
Q

T/F

The Chronological Summary section is optional for Category II complaints.

A

True

47
Q

T/F

CC investigation statements should be an exhibit in the investigation file when deemed necessary.

A

True

48
Q

T/F

All Chronological Summary entries shall be written in the 1st person tense.

A

False, 3 rd person tense

49
Q

T/F

Any CHP 268, Potential Civil Litigation Report, prepared and relevant to the complaint shall be included as an exhibit.

A

False, Do NOT include any CHP 268

50
Q

Any complainant who makes a claim of monetary damages, which are alleged to have been proximately caused by the actions, or inaction, of a Department employee (shall/should/may) be provided with a CHP 287, Claims of $1,000 or Less, or a BC-1A (Board of Control) Tort Claim, as appropriate

A

Shall

51
Q

T/F

Closing correspondence is NOT required in all cases. For example; frivolous and rescinded complaints, and those instances where the complainant has specifically requested no further contact with the Department do not require closing correspondence.

A

False; Closing correspondence IS required in all cases, including frivolous and rescinded complaints, and even in instances where the complainant has specifically requested no further contact with the Department.

52
Q

Closing correspondence shall be sent within (#) (business/working/calendar) days of the investigation being approved

A

30 calendar days

53
Q

Following a finding of sustained or unintentional error, the commander shall use one of the following, depending on the severity of the corrective action required:

A

Request for Adverse Action.

CHP 2, Incident Report (Censurable).

Memorandum of Direction.

Memorandum of Findings.

54
Q

T/F

Since the Department does not generally charge misconduct in an Adverse Action for which an employee has previously been issued a censurable CHP 2, the Bazemore admonition shall not be included in any CHP 2. (Revised 11-03.)

A

True

55
Q

Employees being issued a Memorandum of Direction or Findings (if it is counseling or remedial in nature), or a censurable CHP 2, (shall/should/may) be notified of the option to file a written response within (time frame)

A

Should

30 days

56
Q

T/F

Employees may also submit responses to any complaint investigation which they are the subject of, irrespective of the finding

A

True

57
Q

Category I Citizen Complaints have ________ level approval.

A

Division, followed by employee review, closing documentation to citizen, forwarded to BIA for final approval and archival

58
Q

Category II Citizen Complaints have _____________ level approval.

A

Area Commander, unless Division Commander reserves right to review. Commander approves, closing correspondence sent, forward to Div for signatures, forward to BIA for stats data

59
Q

A copy of the CHP 240 for Cat II CC’s shall be forwarded by Division to BIA for the purpose of:

A

retrieving statistical information

60
Q

Other complaints shall be reviewed and approved as specified how? based on what?

A

Under Cat I and Cat II approval guidelines

the highest category allegation made in the complain

61
Q

Other complaints include:

A

frivolous, rescinded, departmental, citation validity (if only allegation)

62
Q

Once an investigation has been approved, commanders:
A) shall ensure the investigation is discussed by a supervisor with the involved employee(s)
B) should request a supervisor discuss the matter with the involved employee(s)
C) may invite the involved employee(s) to discuss the findings with a supervisor

A

A) shall ensure the investigation is discussed by a supervisor with the involved employee(s)

63
Q

The employee (shall/should) be provided the opportunity to review the investigation in its entirety, except for:

A

Shall

any exhibit specifically marked in the “List of Exhibits” as not releasable to the employee reviewing the complaint

64
Q

After reviewing the investigation, the employees and reviewing supervisors shall:

A

complete the Employee Discussion and Review section of the corresponding CHP 240.

65
Q

If an employee refuses to sign the CHP 240, the supervisor shall:

If practical, an additional supervisor should:

A

note this in the employee signature block on the form.

act as a witness and note as such in the employee signature block on the CHP 240.

66
Q

Any corrective or closing documentation to the employee as a result of a complaint finding should be issued:

A

At the time of the employee/supervisor review of said complaint

67
Q

Government Code § 3306 specifies that a rebuttal must be written and received by the Department within thirty

A) 30 calendar days
B) 14 calendar days
C) (30) days
D) 14 business days

A

C) (30) days

68
Q

An employee has a right to right a rebuttal to corrective documentation as a result of a complaint finding, as afforded by Gov’t Code section 3306 because:

A
  1. A public safety officer shall have 30 days within which to file a written response TO ANY ADVERSE COMMENT entered in his personnel file.
69
Q

3306 GC requires that a written response or rebuttal to an adverse comment entered into his/her personnel file:

A

shall be attached to, and shall accompany, the adverse comment.

70
Q

All Category I, Category II and Other complaint investigations shall be stored in the:

A

Command’s shall maintain a Master Complaint File for all complaints

71
Q

The investigations shall be stored alphabetically, grouped by:

All complaints for a given employee shall be filed

A

the employee’s last name, and include complaints completed by other commands (as the result of a transfer).

in chronological order, most recent to least recent

72
Q

T/F

A complaint investigation is defined as the CHP 240, Complaint Investigation face page, the CHP 240C, Witness List (if applicable), the investigative narrative and all exhibits.

A

True

73
Q

A copy of any corrective documentation issued to an employee, which as specified in Chapter 7 may only refer to allegations with findings of Sustained or Unintentional Error, shall be placed in the:
A) the Complaint Master File
B) employee’s field personnel folder
C) BIA Master File

A

B) employees field personnel folder

74
Q

Closing documentation, other than corrective documentation, issued to an employee shall remain:

but shall not be:

A

as an exhibit in the complaint investigation

placed in the field personnel folder.

75
Q

T/F

The original copy of a Cat I investigation shall be maintained in the Legal Files section of BIA.

A

True, in the Legal Files section

76
Q

T/F

The original copy of a Cat II or Other investigation shall be maintained in the Legal Files section of BIA.

A

False, maintained at command level

77
Q

If an employee submits a response to corrective documentation in a Cat I complaint, a copy of the response shall be attached to:

A

The original investigation in the legal file at BIA, and the corrective document in the employees file

78
Q

If an employee submits a response to corrective documentation in a Cat II or Other complaint, a copy of the response shall be attached to:

A

The original investigation in the Command’s Complaint Master File, and the corrective document in the employee’s file

79
Q

When an employee transfers, all complaint files in the command’s Master Complaint File for that employee shall:

A

be transferred to the new command

80
Q

In regards to an amended complaint that has already been reviewed and signed by the employee which of the following is true:
A) The original investigation shall not be altered.
B) requisite changes shall be made by memo
C) a new CHP 240 shall be prepared in full
D) Additional correspondence to the complainant is not required unless a finding has been changed in a substantive manner.
E) all of the above

A

E) and The investigating command shall ensure that the amendment is attached to all existing copies of the original complaint file.

81
Q

Prior to requesting a complaint for 148.6 PC, The approval of the Area commander or his/her alternate (shall/should) be obtained.

A

shall

82
Q

T/F

A single instance of the most irrational type of complaint normally is sufficient to justify the inclusion of a complaint at in the Information File

A

False, It normally is not

83
Q

Whenever an employee of this Department learns that another agency is conducting an investigation involving CHP personnel, as an involved or witness, he/she shall:

A

Immediately notify Area Commander

84
Q

The decision to consent to an interview with an outside investigator shall:

If such an interview is conducted on state time then:

A

be at the sole discretion of the employee.

a departmental supervisor shall be present and shall tape recorded any interview.

85
Q

When a complainant is not satisfied with an investigation conducted by an Area command then:

A

A Division level review shall be conducted

86
Q

When a complainant is not satisfied with a Division complaint review or with the findings of a complaint investigation originally completed by a Division then:

A

A BIA level review shall be conducted

87
Q

Citizens (shall not be permitted to obtain)/may purchase) a copy of this manual through the Department’s Publications Unit.

A

May purchase

88
Q

The normal suspense period for complaints received at the command, or forwarded from BIA, is:

The suspense period for legislative complaints is:

A

sixty (60) days

thirty (30) days

Sgts Study (32 decks)

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