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CHP Sgt. Study 1/2 > 10.4 Complaint investigations (12-2014) > Flashcards

10.4 Complaint investigations (12-2014) Flashcards

1
Q

Under what circumstances will complainants be notified in writing of the investigation findings?

A

complainants will always be notified in writing (whether sustained, exonerated etc.)
(1-1,3d)

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2
Q

What are the 3 citizen complaint categories?

A

Category 1,
Category 2,
Other.
(2-1,1a)

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3
Q

Give examples of Category 1 complaints

A 
Physical contact, 
excessive force, 
criminal, 
race, 
sex, 
immoral conduct,
(also includes dishonesty, falsification of documentation, or allegations of unethical conduct.
(2-1,1b)
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4
Q

Give examples of Category 2 complaints.

A

Verbal misconduct,
non verbal misconduct, (not involving physical contact), and/or complaints regarding matters not related to an employee’s conduct.
(2-1,1c)

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5
Q

Give examples of “other” complaints.

A 
Departmental, 
rescinded, 
frivolous, 
citation validity (if this is the sole allegation).
(2-1,1d)
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6
Q

What are the 5 possible complaint findings?

A

Sustained,
unintentional error, undetermined/no finding, departmental,
exonerated.
(2-2,1b)

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7
Q

In a departmental complaint, who is listed as the employee?

A

Department

2-3,3h

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8
Q

What is the purpose of the CHP 240?

A

It is the face page of the investigation.

3-1,2a

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9
Q

What is the purpose of the CHP 240A?

A

Used to document receipt of complaint, and track status.

3-1,2b

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10
Q

What is the purpose of the CHP 240B and 240D?

A

It is the primary instrument for citizens to file complaints, it informs the citizens of the complaint process and it advises them of penalties for false complaints.
(3-1,2c)

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11
Q

May complaints be filed on the internet?

A

Yes, but only on non-uniformed employees.

3-2,3b

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12
Q

Other than when the complaint was made in person to the Department, all complaints shall be acknowledge by correspondence (interim correspondence) within how many days?

A

5 days.

3-2,3e

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13
Q

What information should be included in an interim correspondence to a complainant?

A

-A brief summary of the allegations,
-which command will investigate
-A statement that the investigator will be contacting the complainant
-The findings will be provided in writing.
(3-2,3e)

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14
Q

What area/command has the responsibility to investigate a complaint?

A

The area/command the employee was assigned at the time the incident occurred.

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15
Q

How are third party complaints received and processed?

A

The complaint will receive correspondence advising them that the allegedly aggrieved will be contacted directly within 30 days. It will be handled the same as other complaints after that.
(3-3,h2)

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16
Q

What is the main issue when accepting a complaint involving an off duty employee?

A

There must be a Nexus to the department.

3-3,h3

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17
Q

What shall complainants be advised if they desire to remain confidential?

A

Shall be advised that the Department will attempt to honor their request to the greatest extent possible, however, the employee has the right to review a complaint upon completion of the investigation and that the employee has the right to file a civil claim against the complainant. If the employee requests a copy of the investigation, the Department’s ability to maintain absolute confidentiality will be severely limited.
(3-6,i)

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18
Q

A person calling to file a complaint against a non-uniform employee shall be informed of what?

A

Be informed that information about filling such complaint may be obtained via the internet
(3-6,5a)

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19
Q

What is the normal suspense period for the completion of complaints?

A

Normally 60 days, 30 days for legislative complaints. Extensions may be requested if necessary.
(4-1,1d)

20
Q

Is it necessary for the complainant to be provided a copy of his own complaint?

A

Yes, so there is no discrepancy in what is being investigated.
(4-3,3d)

21
Q

A chronological log is required in what type of complaint?

A

Required in a category 1, but recommended in all complaints

5-1,2c

22
Q

What is required in the narrative if the complainant was not interviewed?

A

It shall be noted in the narrative portion that he was not interviewed.
(5-4,5c)

23
Q

At what point in the investigation should the employee be interviewed?

A

After gathering all other available information.

5-5,d

24
Q

Under what circumstances are employees allowed representation during an interview?

A

When the action “COULD” lead to an adverse action.

5-5,d1

25
Q

If during an interview (non represented) it is determined representation may be allowed due to new information, what should occur?

A

The interview shall be stopped, the right to representation advised and the investigation should be continued in accordance with HPM 10.2
(5-5,d3)

26
Q

Under what circumstances can an employee be asked to submit a memorandum explaining his version of the incident?

A

Only after being interviewed and for the purpose of clarifying specific issues, or after being provided with a written interrogation and opportunity to consul with a representative.
(5-5,d3)

27
Q

Under what conditions can a complainant/witness and/or investigator tape record an interview?

A

Under all circumstances, however, if recorded by a complainant/witness, the investigator shall also record it.
(5-6,e4)

28
Q

When can an investigator and/or an employee tape record an interview?

A

During a formal administrative interrogation. In others, the investigator must have the employee’s permission and then the employee must be allowed to record it himself.
(5-6,e5)

29
Q

Evidence collected during the investigation shall be preserve how?

A

In accordance with HPM 70.1 (Evidence) and HPM 10.2 (investigations).
(5-8,7a)

30
Q

How long shall evidence be preserved?

A 
5 years (from the date the complaint if filed).
(5-9,7a1)
31
Q

If the investigation reveals an AA is necessary what happens to the complaint investigation?

A

Is shall be completed and added to the adverse action package as an exhibit.
(5-10,10)

32
Q

What happens to the complaint if it is rescinded?

A

It is normally discontinued, however the commander may decide to continue it to its normal conclusion.
(2-3,o)

33
Q

What is placed on the 240 if the complainant requests confidentiality?

A

Place “confidentiality” in the 240 and place the confidential information on a separate piece of paper, placed in an envelope and attached to the investigation .

(?????)

34
Q

How is a control number assigned?

A 
Location code (3 digits), year of the complaint was received (2 digits), and number of complaints received that year (3 digits) 
(7-7,3).
35
Q

When is a chronological summary required?

A

For category 1 only, however, it may be used in category 1 complaints. OPTIONAL for category II complaints.
(7-10,4)

36
Q

When should a CHP 268 (civil litigation) be attached as an exhibit?

A

It shall “NEVER” be attached.

7-11,8

37
Q

When should closing correspondence be sent?

A

Within 30 calendar days of the investigation being approved.

7-14,6

38
Q

What are the types of corrective action required if the employee was found to be in error (either intentional or unintentional)?

A

Request for adverse action, CHP 2,
Memorandum of direction
Memorandum of findings.
(7-15,1)

39
Q

An employee has the right to submit a written response to any adverse action entered in his personnel file within how many days?

A

30 days.

7-15,4

40
Q

When should the employee discussion take place?

A

After the investigation package has been approved by division.
(8-5,5a)

41
Q

What type of corrective documentation may be placed in the employee’s personnel file?

A

Corrective documentation issued to an employee with findings of sustained or unintentional error only.

42
Q

What is the retention period for complaints?

A

5 years from the date the Department received the complaint.

9-2,b1

43
Q

When an affected employee is appealing an AA, the filling deadline in not later than ___ calendar days after service of an AA.

A

30 days.

44
Q

Who is the approving authority for Category II complaints?

A

The Area Commander

45
Q

Who approves category 1 complaints?

A

Internal Affairs.

46
Q

Does the law or policy require that complainants be notified about filing false or malicious complaints?

A

The law.

1-1,3a

47
Q

Are complaints against Uniformed employees taken from the Internet?

A

No. However, “in the interest of public service” …yes… a 240B shall be provided to complainants.
(3-6,51c)

CHP Sgt. Study 1/2 (51 decks)

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