HPM 10.4 Citizen’s Complaint Investigations Flashcards
(180 cards)
1
Q
What is the purpose of the Citizen’s Complaint Investigations Manual?
A
Establish policy and provide departmental supervisors and managers with clear guidelines for accepting, investigating, reporting, and processing citizen’s complaints.
2
Q
It is the policy of the Department that the citizen’s complaint process be utilized as what?
A
A management tool to provide the highest level of public service.
3
Q
What are the three most typical ways the Department receives citizen’s complaints?
A
Verbally. In writing. In person.
4
Q
When the Department receives at citizen’s complaint, what occurs?
A
The complaint will be acknowledged in a timely manner and an investigation will be initiated.
5
Q
In what manner are complaints investigated?
A
In a thorough, fair, and impartial manner.
6
Q
How are complainants notified of the investigation findings?
A
In writing.
7
Q
What are the three classifications of citizen’s complaints?
A
Category I, Category II, and “Other”
8
Q
What is a Category I complaint?
A
Excessive force, physical contact, criminal, racial, sexual, or immoral conduct, dishonesty, falsification of documents, and unethical conduct.
9
Q
What is a Category II complaint?
A
Verbal misconduct, nonverbal misconduct, and/or complaints regarding matters not related to an employee’s conduct.
10
Q
What is an “Other” complaint?
A
Complaints which may contain Category I or II allegations, but also meet the definition of the following complaints: Departmental complaint, Citation Validity, Rescinded complaint, Frivolous complaint.
11
Q
What are some examples of non-complaints?
A
Traffic complaints. Vehicle storage/impound validity. Other agency complaints. Off-duty conduct.
12
Q
A conclusion supported by a preponderance of all available evidence adequate to lead a reasonable and prudent person to reach the same conclusion is called what?
A
A finding.
13
Q
How many complaint allegation findings are there?
A
Five.
14
Q
What are the five allegation findings?
A
Sustained. Unintentional Error. Undetermined/No finding. Departmental. Exonerated.
15
Q
What is an exonerated finding?
A
The employee did not commit the act (or omission), or did commit the act and it is deemed to be proper or within departmental policy.
16
Q
What is a sustained finding?
A
The act (or omission) did occur, and it is deemed improper.
17
Q
What is an unintentional error finding?
A
The act (or omission) did occur, and it is deemed improper, but the result of an employees honest mistake.
18
Q
What is an undetermined/no finding?
A
Used only when the evidence or lack thereof, precludes the investigator from making a definitive judgment.
19
Q
What is a departmental finding?
A
Used only when the employee’s actions are fully in compliance with departmental policy and/or procedure, but the policy/procedure itself is found to be erroneous or is the cause of the complainants concerns.
20
Q
What is the only finding for a departmental complaint?
A
Departmental.
21
Q
What term is used to describe an individual reportedly injured or offended by the actions of the Department or one of its employees?
A
Aggrieved Person.
22
Q
What is the definition of an allegation?
A
A claim, assertion, or accusation of an act or omission that has not yet been proven to be factual.
23
Q
What is an anonymous complaint?
A
Any complaint where the allegedly aggrieved person chooses to withhold his/her identity.
24
Q
What is the definition of citation validity?
A
An allegation that a citation issued was invalid, or was at least partially inaccurate.
25
What is the definition of a frivolous complaint?
A complaint which is totally and completely without merit, or which is filed for the sole purpose of harassing an employee.
26
What is the information file?
Reference file maintained by Internal Affairs of complainants who have demonstrated a propensity for filing numerous false or frivolous complaints.
27
What is a legislative complaint?
A complaint which originates from a legislator’s office or the Office of the Governor, usually on behalf of a constituent.
28
What is a departmental complaint/allegation?
An allegation solely against a Department policy or procedure, and no employee misconduct is alleged.
29
If a complainant rescinds their complaint, does the Area commander still have to determine the validity of the allegations?
Yes.
30
What is a CHP 24O?
The “face page” of the complaint investigation package and is the primary method of complaint documentation.
31
What is a CHP 24OA?
Complaint control log. Used to initially document receipt of citizens’ complaints and to track investigation.
32
What is a CHP 24OB?
Citizen’s complaint information. Used by citizens to file complaints.
33
What is a CHP 24D?
Citizens’ complaint information (non-uniformed). Form used to file complaint against non-uniformed employees.
34
Can a person file a complaint against a uniformed employee via the internet?
No, only for non-uniformed employees.
35
Who is to be notified once a complaint has been received?
Notify a supervisor or command management.
36
How many days after the Department has been notified of a complaint shall the complainant be acknowledged by correspondence?
Within five business days (unless the complainant filed the complaint in person and info required was provided).
37
What is contained within the interim correspondence provided to a complainant?
A brief summary of the complainant’s allegations, which command will investigate, notification that an investigator will contact the complainant.
38
How should a complaint be forwarded to another command?
By phone, fax, e-mail, or memorandum to the proper command.
39
What is required to be given to all potential complainants?
CHP 24OB and 24OD.
40
Which complaint form are employees required to request a complainant to sign?
CHP24B, whenever complaint involves departmental peace officers.
41
How many days after receiving a CHP 24OB or CHP 24OD shall the complainant be requested to return a signed copy of it?
1 days.
42
Is the Department obligated to give the complainant a copy of his/her allegations?
Yes, can be put on back of CHP24B or CHP24D.
43
What should be done regarding complaints received by the Department against a member of an allied agency?
The complainant should be directed to the appropriate agency. The commander shall also forward all pertinent info to the allied agency.
44
The aggrieved party in a third party complaint shall be contacted directly (usually by mail) and asked their intentions with a requested turnaround of how many days?
3O days.
45
What is required for the Department to investigate an off-duty conduct complaint?
A nexus to employment by this Department was made by the employee.
46
Can employees of the Department make citizen’s complaints against other employees?
No.
47
Any complainant who makes a claim of monetary damages ($1,OOO or less) shall be provided with what?
CHP 287, Board of Control claim.
48
Can complainants request confidentiality?
Yes, but they shall be informed that the employee has the right to review a complaint upon completion and confidentiality may not be possible.
49
What is required if a command receives a legislative complaint that was not forwarded by Internal Affairs?
The command, in coordination with OSR, shall also send a response letter directly to the legislator or other originating entity.
50
Can a complainant file a complaint against a departmental peace officer via the internet?
No, but in the interest of public service, the Department will accept and investigate complaints filed in this manner.
51
Who has primary responsibility for the citizen’s complaint program at the field and Division level?
Commanders.
52
Who makes the decision to investigate an employee?
The Area commander of the Area/Section to which the involved employee was assigned at the time the time the incident occurred.
53
The assigned primary investigator of a complaint shall be of what grade?
One grade higher than the involved employee.
54
What is the normal suspense period for complaints received at the command, or forwarded from Internal Affairs?
6O days.
55
What is the suspense period for legislative complaints?
3O days.
56
When can an investigator utilize other Department employees, including those of lower rank?
When those personnel have specific qualifications needed such as DRE, PMA instructor, MAIT, etc.
57
Who is responsible for complaints that originate while an employee is attending training at the Academy?
The Academy commander; however, corrective action will be coordinated with the employee’s permanent commander.
58
Can the responsibility of conducting citizens’ complaint investigations initiated against employees of this Department be relinquished to any outside agency?
No, never.
59
Who is responsible for handling complaints while an employee is on a temporary assignment within the Department?
The employee’s permanent commander but Division commanders may direct such complaints be investigated by the temporary assignment commander or supervisor.
60
Who will investigate a complaint involving employees from multiple commands?
The command with the employee who has the most severe allegations.
61
How many complaint control numbers are issued for multi-command investigations?
One.
62
Who must be consulted in the event that corrective action for an employee not assigned to the investigating command appears warranted?
The employee’s actual commander shall be consulted and must approve.
63
Can an investigation be initiated when a board of control claim is filed that alleges employee misconduct?
Yes, an investigation shall be initiated.
64
An area commander is responsible for the overall complaint and investigative process, who is responsible for the conduct and quality of the investigation and documentation?
Primary investigator.
65
What is the systematic gathering of facts and evidence concerning a specific event or allegation of misconduct?
An investigation.
66
To what degree shall complaints be investigated?
To the degree necessary to reach a logical conclusion.
67
What is the definition of chronological log?
A detailed chronological accounting of all actions taken by the investigator as they relate to the investigation.
68
What category of complaint requires a chronological log as part of the narrative?
Category I.
69
What is an investigator-maintained file that provides a common stage site for investigation-related documents and other evidence?
Investigation file.
70
Where should the investigation file be kept?
In a secure location.
71
What is the single most important step the investigator can take during the investigation?
Firmly establish the complainant’s specific allegations.
72
What are the three basic steps of the investigation process?
Determine the questions. Determine the answers. Document the results.
73
What can happen if an investigator fails to create a detailed plan?
May overlook valuable evidence or encounter unnecessary delays.
74
What should an investigator consider when visiting the scene of the incident?
Consider arriving at approximately the same time of day as the occurrence.
75
What can be used to assist the complainant in identifying an employee?
Picture board.
76
What shall be done when a complainant purports to be injured?
Every effort shall be made to thoroughly document such injuries.
77
What is the single most important tool an investigator has at their disposal?
The interview.
78
When should witnesses be interviewed?
As soon as feasible after the investigation is initiated.
79
Are telephonic interviews allowed during complaint investigations?
Yes, witness refuses personal interview.
80
Is an interview of the complainant required?
No, but it is advisable.
81
When should an involved employee be interviewed?
Normally it should be conducted after gathering all other available information.
82
What does an employee have the right to when a meeting is held with his/her superiors for the specific purpose of eliciting information which could lead to an adverse action?
Representation.
83
Should an employee be allowed representation during complaint investigations which do not meet adverse action criteria?
No routinely.
84
Can an employee’s belief that adverse action is being considered be sufficient grounds for granting representation rights?
Yes.
85
What should be done if information surfaces during an interview which indicates that the employee may be faced with adverse action?
The interview should be suspended and the employee shall be informed of his/her right to representation.
86
Should an investigator ask an employee that is the subject of an investigation to complete a memorandum of his/her version of the matter in question?
No, may be violation of POBR.
87
When can an investigator ask an employee that is the subject of an investigation to complete a memorandum?
Subsequent to an interview, an employee may be directed to prepare a memorandum for the purpose of clarifying specific issues. When an employee has been provided with a written interrogatory and afforded the opportunity to consult with a representative during its completion.
88
When are investigators required to tape record interviews?
Statements from complainants and witnesses in potentially serious cases. The recording of statements and interviews should be considered in virtually all instances.
89
Can surreptitious recordings of members of the public be made by law enforcement without their knowledge?
Yes.
90
Can a complainant or witness record an interview during the complaint investigation?
Yes.
91
Can an interview with the involved employee be tape recorded outside the scope of a formal administrative interrogation?
Only with permission of the employee and they shall have to right to concurrently record the interview.
92
What is the key to conducting a successful interview?
Objectivity.
93
When it appears adverse action may be warranted what should the investigator ask the complainant or witness?
If they will testify at the State Personnel Board Hearing.
94
What about the involved employee shall be examined during the course of a citizen’s complaint investigation?
Their complaint history, in order to determine the existence of previous complaints which could be relevant to the current investigation.
95
Why are generic statements recommended when dealing with previous complaint findings?
If current investigation is released through legal discovery, specifically identified previous complaints may also become discoverable.
96
The method used to obtain evidence and its relevance to the investigation should be documented where?
Chronological Summary (Category I) or the Complaint Summary Section (Category II and Other).
97
Is an administrative interview a form of evidence?
Yes.
98
Evidence pertaining to a citizen’s complaint investigation shall be stored for how long?
Five years.
99
What shall be done to ensure that evidence is not destroyed prematurely?
The CHP 36 shall be annotated with the appropriate date of destruction.
100
What is required form the involved employee if the release of medical records should become necessary during the course of the investigation?
The employee’s permission.
101
All searches must comply with what?
POBR or legal statute concerning search and seizure.
102
Can uniformed employees be required to provide any audio/video tape recordings of enforcement contacts to the Department upon request?
Yes, the employee must be supplied with new tape as a replacement, or the original recording may be returned after duplication.
103
What type of complaints shall be referred to the respective prosecuting district attorney’s office for review?
All complaints with allegations of criminal misconduct which have been given a finding of sustained or unintentional error.
104
How many findings shall each allegation have?
One, even if several instances of that specific allegation are alleged.
105
What finding shall be used for combined allegation?
The most severe.
106
What documentation is required for all complaint investigations?
CHP 24, CHP 24C (if applicable), the appropriate narrative and relative exhibits.
107
Can the commander refuse to accept a request to rescind a complaint?
Yes.
108
What five factors can lead an investigator to conclude that a complaint is frivolous?
Allegations appear to be preposterous. Complainant refused to sign or did not return the CHP 24OB. Complainant has previously filed other frivolous complaints. Complainant has provided conflicting or false statements. The allegations are severely dated, no reason given for delay.
109
What narrative format shall be used for Category I and Category II complaints?
The formal format.
110
What narrative format is used for complaints classified as “other”?
Other format.
111
What should an investigator do if there are more entries than spaces available in a given section on the CHP 24?
Use additional CHP 24O forms.
112
When additional CHP 24 forms are used, what information is mandatory on any of the added forms?
Complaint control number and employee identification information.
113
What is entered on the CHP 24O if the complainant is unknown or declines to identify himself/herself?
Anonymous.
114
If the complainant wants to keep their name confidential what should be entered on the CHP 24O?
Confidential.
115
Who issues the investigation control number?
Assigned by the investigating command.
116
What type of complaints requires a control number?
Category I, Category II, and “Other”.
117
What are the first three digits of the control number?
Investigating commands location code.
118
What are the fourth and fifth digits in the control number?
The year the complaint was received.
119
What are the sixth, seventh, and eight digits in the control number?
Sequential control number beginning with 1.
120
What eight sections are required on the formal format?
Complaint summary. Complaint findings. Recommendations. Chronological Summary (Optional for Category II). Investigators notes (Optional for Category I and Category II) Lists of exhibits. Signature block. Exhibits.
121
What six sections are required on the “other” format?
Complaint summary. Chronological summary (Optional) Investigative summary (Optional) List of exhibits. Signature block. Exhibits.
122
When shall a CHP 268, Potential Civil Litigation Report, be completed in regard to citizen’s complaint investigations?
When the investigation uncovers any actual or alleged damage to property, or injuries to persons which may result in a claim against the state.
123
Are investigators required to send closing correspondence to all complainants?
Yes.
124
In closing documentation to a complainant, can disciplinary action resulting from the investigation be divulged?
No, but they should be apprised that appropriate corrective action was taken to preclude the occurrence of future misconduct.
125
Closing correspondence shall be sent within how many days of the investigation being approved?
3O calendar days.
126
Is corrective action against an employee for all investigations which reveal the employee was in error, whether it was intentional or not?
Yes.
127
Corrective action shall be in what form?
Written.
128
What are the four types of written corrective action?
Request for adverse action. CHP 2- Censurable. Memorandum of direction. Memorandum of findings.
129
An admonishment notifying employees that the conduct for which they are being counseled may still be charged in future adverse actions is called what?
Bazemore Admonition.
130
What written corrective action is the Bazemore Admonition required to be part of?
Memorandum of Direction and Memorandum of findings
131
Is the Bazemore Admonition used on CHP 2’s?
No.
132
What is the time period that employees covered by POBR have to submit a written response to any adverse comment that is entered into his/her personnel file?
3O days.
133
Who prepares closing correspondence for a state or federal official that was a third party and wrote the investigating command directly?
The command in coordination with OSR.
134
When would Internal Affairs, with coordination with OSR, handle the closing correspondence for a state or federal official?
Info is relevant to Department-wide matters. Investigation contains matters of a sensitive nature. Protocol mandates closing correspondence from the Commissioner, Agency Secretary, Legislator, or Governor.
135
Where does the original investigation package for a Category I complaint go for final approval?
BIA.
136
Generally, who is the final authority for all Category II complaints?
Area commanders.
137
In a Category II complaint package, who sends a copy of the investigation to BIA?
Division.
138
What type of information are employees not authorized to examine in the investigation package?
Closing documentation to another employee. Medical release forms. Financial records. Evaluations of other employees. Complainant info if they requested confidentiality.
139
What shall be done if an employee refuses to sign the CHP 24O?
The supervisor shall note this in the employee signature block.
140
Does an employee have a right to a copy of the complaint investigation?
Yes, upon their written request.
141
Where are all Category I, Category II, and “other” complaints stored?
Master complaint file.
142
How are investigation files organized in the master complaint file?
Alphabetically, grouped by the employees’ last name.
143
A copy of any corrective documentation for a sustained or unintentional error complaint issued to an employee, shall be placed where?
In the employee’s field personnel folder.
144
If an employee submits written documentation as a response to a complaint investigation or corrective action, where shall commands put a copy of the written documentation?
Attach it to all known copies of the investigation or corrective action, including forwarding a copy to Internal Affairs for Category I complaints.
145
How long is Category I, Category II, and “other” complaints retained for?
Destroyed after five years, including original Category I investigations retained by H.Q. Legal Files Unit.
146
How long is corrective documentation to employees retained in their personnel files?
Three years.
147
How long are responses to complaints or corrective actions written by the employees maintained?
Shall be retained for the life of the document with which it has been filed.
148
How long are local commands required to keep CHP 24OAs for?
Five years.
149
When an employee transfers, what happens to their complaint files that are filed in the master complaint file?
Transferred to new command.
150
When does legal discovery not apply in regard to personnel complaint investigations?
Investigations or proceedings concerning the conduct of peace officers or a law enforcement agency conducted by a grand jury, D.A.’s office, or the A.G.’s office.
151
Issues with legal discovery should be coordinated through which unit?
Legal Coordination Unit.
152
Can complaint related information or even generic statistical data from complaint investigations be released?
No, not without coordination of BIA of the Office of the Commissioner.
153
When can a commander release a complaint investigation file to the A.G. or his investigator?
Whenever the A.G. is defending the Department or its employees.
154
When can an OPI get a copy of a complaint investigation?
For the explicit purpose of extracting information necessary for evaluating a particular departmental program.
155
What three restrictions apply to OPIs when getting a copy of a complaint investigation for the explicit purpose of extracting information necessary for evaluating a particular departmental program?
Release shall not occur without the consent of Internal Affairs. The only information which may be retained is statistical data provided on the CHP 24O. Information that identifies an involved employee, complainant, and/or witness shall not be retained by an OPI for the purpose of evaluating a particular program.
156
What is required when an involved employee requests a copy of the investigation file?
Employee shall sign memorandum acknowledging the release and the confidentiality of the file. Despite complainant’s request for confidentiality, the employee shall be provided with the complainant’s identifying information. The memorandum, with the employee’s signature is placed in personnel folder, with a copy attached to original complaint investigation and all copies of the file. All references to other employees shall be redacted.
157
What procedure is used to ensure the integrity and uniformity of the complaint process?
Audit.
158
How often does Internal Affairs conduct on-site audits of all formal Category II and “other” complaint investigations, and the CHP 24OA?
Annually.
159
To ensure integrity of statistical information maintained by Internal Affairs, all Divisions, Areas, and Sections shall report complaint information how often?
Annually.
160
When is the deadline for Divisions, Areas, and Sections to get their complaint information to Internal Affairs?
January 2Oth of each year.
161
What is required in order to amend an investigation after it has been reviewed with the involved employee?
The original investigation file shall not be altered. Changes made by memorandum. A new CHP 24O shall be prepared in full. The amended CHP 24O, along with any memorandums or other documentation shall be processed as if it were a new complaint. Additional correspondence to the complainant is not required. The investigating command shall ensure that the amendment is attached to all existing copies of the original complaint file.
162
What crime classification is filing a false complaint?
Misdemeanor.
163
What additional report is required if an investigator determines that the complainant knowingly filed a false complaint and recommends a criminal complaint be filed?
CHP 216.
164
Are uniformed employees allowed to physically arrest people for a violation of filing a false complaint?
No.
165
Can officers initiate a civil action against a complainant for knowingly filing a false complaint?
Yes.
166
Does the Department take a position on employees initiating a civil action against a complainant for knowingly filing a false complaint?
No, the Department neither encourages nor discourages.
167
What are the three requirements for employees electing to file civil claims?
Employee shall ensure that all communications with the complainant do not portray the employee as acting in any official capacity or acting on behalf of the Department. No state or Department resources are to be used. Employees should be aware that a discovery motion needs to be filed before complaint documentation can be used in civil litigation.
168
What is the Information File?
A catalog maintained by Internal Affairs of complainants who have demonstrated a propensity towards the filing of frivolous, spurious, or specious complaints.
169
What is required to get a complainant added to the Information File?
Commander shall prepare memorandum requesting entry into the Information File. Memorandum should be routed through channels to Internal Affairs. Internal Affairs will review for approval.
170
Does the mere fact that a complainant is in the Information File relieve the commander from adequately investigating all allegations of the complaint?
No, but it should be considered a significant indicator that the complaint may be frivolous.
171
What does Internal Affairs develop if an employee receives a specific number of complaints within a certain time period?
Employee trend analysis.
172
The Division commander, in conjunction with the immediate commander, shall review the employee’s complaint trend and performance history to identify any behavioral trends and, if needed, develop an appropriate corrective action plan.
How is the employee trend analysis used?
173
What are employees required to do as soon as they discover that another agency is conducting an investigation involving CHP personnel?
Immediately notify supervisor.
174
Are civil rights violations criminal in nature?
Yes.
175
What agencies usually investigate civil rights violations?
FBI, United States DOJ, or California DOJ.
176
The decision to consent to an interview with an outside investigator shall be at the sole discretion of whom?
The employee.
177
If an employee is interviewed by an outside investigator for civil rights violations while on state time, what is required?
Departmental supervisor shall be present and shall tape record the interview.
178
Who reviews a complaint investigation when a complainant expresses dissatisfaction with the investigations conclusions?
The succeeding level of command. Area would be reviewed by Division, Division would be reviewed by Internal Affairs.
179
Who is the final level of complaint investigation review if a complainant is not satisfied?
Internal Affairs.
180
After Internal Affairs completes a review of a division level complaint investigation, the closing correspondence sent to the complainant from Internal Affairs shall be considered what?
The Department’s final response.
