10.4 Complaint investigations (12-2014) Flashcards
Under what circumstances will complainants be notified in writing of the investigation findings?
complainants will always be notified in writing (whether sustained, exonerated etc.)
(1-1,3d)
What are the 3 citizen complaint categories?
Category 1,
Category 2,
Other.
(2-1,1a)
Give examples of Category 1 complaints
Physical contact, excessive force, criminal, race, sex, immoral conduct, (also includes dishonesty, falsification of documentation, or allegations of unethical conduct. (2-1,1b)
Give examples of Category 2 complaints.
Verbal misconduct,
non verbal misconduct, (not involving physical contact), and/or complaints regarding matters not related to an employee’s conduct.
(2-1,1c)
Give examples of “other” complaints.
Departmental, rescinded, frivolous, citation validity (if this is the sole allegation). (2-1,1d)
What are the 5 possible complaint findings?
Sustained,
unintentional error, undetermined/no finding, departmental,
exonerated.
(2-2,1b)
In a departmental complaint, who is listed as the employee?
Department
2-3,3h
What is the purpose of the CHP 240?
It is the face page of the investigation.
3-1,2a
What is the purpose of the CHP 240A?
Used to document receipt of complaint, and track status.
3-1,2b
What is the purpose of the CHP 240B and 240D?
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)
May complaints be filed on the internet?
Yes, but only on non-uniformed employees.
3-2,3b
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?
5 days.
3-2,3e
What information should be included in an interim correspondence to a complainant?
-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)
What area/command has the responsibility to investigate a complaint?
The area/command the employee was assigned at the time the incident occurred.
How are third party complaints received and processed?
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)
What is the main issue when accepting a complaint involving an off duty employee?
There must be a Nexus to the department.
3-3,h3
What shall complainants be advised if they desire to remain confidential?
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)
A person calling to file a complaint against a non-uniform employee shall be informed of what?
Be informed that information about filling such complaint may be obtained via the internet
(3-6,5a)
What is the normal suspense period for the completion of complaints?
Normally 60 days, 30 days for legislative complaints. Extensions may be requested if necessary.
(4-1,1d)
Is it necessary for the complainant to be provided a copy of his own complaint?
Yes, so there is no discrepancy in what is being investigated.
(4-3,3d)
A chronological log is required in what type of complaint?
Required in a category 1, but recommended in all complaints
5-1,2c
What is required in the narrative if the complainant was not interviewed?
It shall be noted in the narrative portion that he was not interviewed.
(5-4,5c)
At what point in the investigation should the employee be interviewed?
After gathering all other available information.
5-5,d
Under what circumstances are employees allowed representation during an interview?
When the action “COULD” lead to an adverse action.
5-5,d1
If during an interview (non represented) it is determined representation may be allowed due to new information, what should occur?
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)
Under what circumstances can an employee be asked to submit a memorandum explaining his version of the incident?
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)
Under what conditions can a complainant/witness and/or investigator tape record an interview?
Under all circumstances, however, if recorded by a complainant/witness, the investigator shall also record it.
(5-6,e4)
When can an investigator and/or an employee tape record an interview?
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)
Evidence collected during the investigation shall be preserve how?
In accordance with HPM 70.1 (Evidence) and HPM 10.2 (investigations).
(5-8,7a)
How long shall evidence be preserved?
5 years (from the date the complaint if filed). (5-9,7a1)
If the investigation reveals an AA is necessary what happens to the complaint investigation?
Is shall be completed and added to the adverse action package as an exhibit.
(5-10,10)
What happens to the complaint if it is rescinded?
It is normally discontinued, however the commander may decide to continue it to its normal conclusion.
(2-3,o)
What is placed on the 240 if the complainant requests confidentiality?
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 .
(?????)
How is a control number assigned?
Location code (3 digits), year of the complaint was received (2 digits), and number of complaints received that year (3 digits) (7-7,3).
When is a chronological summary required?
For category 1 only, however, it may be used in category 1 complaints. OPTIONAL for category II complaints.
(7-10,4)
When should a CHP 268 (civil litigation) be attached as an exhibit?
It shall “NEVER” be attached.
7-11,8
When should closing correspondence be sent?
Within 30 calendar days of the investigation being approved.
7-14,6
What are the types of corrective action required if the employee was found to be in error (either intentional or unintentional)?
Request for adverse action, CHP 2,
Memorandum of direction
Memorandum of findings.
(7-15,1)
An employee has the right to submit a written response to any adverse action entered in his personnel file within how many days?
30 days.
7-15,4
When should the employee discussion take place?
After the investigation package has been approved by division.
(8-5,5a)
What type of corrective documentation may be placed in the employee’s personnel file?
Corrective documentation issued to an employee with findings of sustained or unintentional error only.
What is the retention period for complaints?
5 years from the date the Department received the complaint.
9-2,b1
When an affected employee is appealing an AA, the filling deadline in not later than ___ calendar days after service of an AA.
30 days.
Who is the approving authority for Category II complaints?
The Area Commander
Who approves category 1 complaints?
Internal Affairs.
Does the law or policy require that complainants be notified about filing false or malicious complaints?
The law.
1-1,3a
Are complaints against Uniformed employees taken from the Internet?
No. However, “in the interest of public service” …yes… a 240B shall be provided to complainants.
(3-6,51c)
