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General Orders 300's > 300-32 Processing Complaints and Employee Issues > Flashcards

300-32 Processing Complaints and Employee Issues Flashcards

1
Q

The department shall process issues and complaints related to employee performance through the _____.

Using the Issue Record Form (IRF), IAD/CIO shall standardize the initial intake of issues, complaints, and grievances (hereinafter referred to as issues).

IAD/CIO shall refer these issues to the…

The chain of command assigned an issue shall track and monitor the issue until it is resolved.

A

1) Internal Affairs Division/Central Intake Office (IAD/CIO)

2) appropriate location for resolution.

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2
Q

Alternative Dispute Resolution (ADR).

A

A department unit assigned the task of processing job-related issues eligible for resolution by one of four separate sections: Mediation, Employee Relations, Grievance, and Employee Representative Council.

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3
Q

Alternative Dispute Resolution Process.

A

The department process designed to provide employees alternative methods for resolving job-related issues. The ADR process is structured to focus on the following processes (these are not Internal Affairs Division [IAD] issues):

a. Mediation
b. Employee Relations
c. Grievance
d. Employee Representative Council (ERC)

To use any ADR process, employees should file their issues with IAD/CIO or ADR. IAD/CIO shall refer issues to ADR or to the process deemed most appropriate for addressing the issue.

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4
Q

Division Case Manager.

A

Each division shall have a division case manager. The division case manager is assigned by the division’s commander and is responsible for assisting supervisors with initiating IRFs and for ensuring the case management system time line is followed. The division case manager shall serve as the shift tracking coordinator for the day shift and as the division liaison to IAD/CIO.

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5
Q

Internal Affairs Division Case Management System (IADCMS).

A

A specific database used to facilitate recording and tracking of all issues.

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6
Q

Issue Acknowledgement Form (IAF).

A

The department form generated by the IADCMS after the shift tracking coordinator has entered the IRF. The IAF is given to citizens and employees as an acknowledgement that the department has recorded the issue. The IAF also provides the issue tracking number.

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7
Q

Issue Record Form (IRF).

A

An electronically generated form obtained from the IADCMS used for receiving information related to an issue. The primary functions of this form are to generate issue tracking numbers and initiate the issue resolution process. The IRF template is available on the department’s Intranet Portal if the IADCMS is not available.

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8
Q

Issue Resolution Record (IRR).

A

A department form used by ERC representatives for documenting and presenting an employee’s ERC issue to division commanders. This form is available on the ADR Website via the department’s Intranet Portal.

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9
Q

Issue Tracking Number.

A

A tracking number generated by the IADCMS. This is the reference number provided to the complaining party. An issue may be recategorized or rerouted, but the issue tracking number will remain the same.

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10
Q

Shift Tracking Coordinators.

A

Each division commander shall assign shift tracking coordinators and alternates for each shift and unit within their area of responsibility. During their shift, shift tracking coordinators are responsible for assisting their supervisors with initiating IRFs, ensuring the IADCMS time line is followed, and assisting division case managers in all matters regarding the tracking of issues.

Alternates shall fulfill the division case managers’ and shift tracking coordinators’ responsibilities in the event of their absences. Whenever division case managers or shift tracking coordinators are no longer able to serve as coordinators, the division commander shall notify the captain of IAD in writing.

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11
Q

INTERNAL AFFAIRS DIVISION/CENTRAL INTAKE OFFICE

When possible, employees shall first attempt to resolve any routine managerial and employee matters _____. However, the department recognizes that in some situations this may not be the best possible process for concerns that become issues.

IAD/CIO shall act as a centralized intake center for all issues requiring department intervention for _____. IAD/CIO shall review each issue and process it according to its standard operating procedures (SOPs) and any applicable General Orders.

IAD/CIO shall initiate an IRF when_______. IAD/CIO shall provide the citizen or employee an issue tracking number at the time the issue is recorded into the system.

IAD/CIO shall categorize the allegations and forward the issue electronically to the appropriate division for further processing.

A

1) within their immediate chain of command
2) both citizens and employees
3) citizens or employees initially bring an issue to the attention of IAD/CIO

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12
Q

INTERNAL AFFAIRS DIVISION/CENTRAL INTAKE OFFICE

Employees and citizens with issues shall be able to begin the process in the appropriate locations where…

IAD/CIO shall process and categorize all incoming electronic, faxed, or emailed IRFs received from…

Any IRF sent to IAD/CIO after normal business hours shall be…

A

1) IRFs can be completed and sent electronically to IAD/CIO.
2) throughout the department
3) processed the next working day.

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13
Q

INTERNAL AFFAIRS DIVISION/CENTRAL INTAKE OFFICE

When the IADCMS is not functioning, the citizen’s or employee’s issue shall be…

A copy shall be provided to the person and a copy shall be faxed or emailed
immediately to IAD/CIO.

IAD/CIO shall provide the citizen or employee the _____ upon processing the issue.

Existing investigative and decision-making processes shall not be changed unless specifically stated within this General Order or by other official notice.

A

1) handwritten on an IRF

2) appropriate information

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14
Q

EMPLOYEE REPRESENTATIVE COUNCIL (ERC) ISSUES

Employee Procedures

Employees who have issues regarding a policy or procedure that cannot be resolved within their immediate chain of command may report issues to…

Employees shall describe the issue and requested resolution on _____ and present the issue to their ERC representative.

See General Order 300-26, Employee Representative Council, for more information.

A

1) their divisions’ ERC representatives.

2) non-letterhead correspondence

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15
Q

EMPLOYEE REPRESENTATIVE COUNCIL (ERC) ISSUES

ERC Representative Procedures

If an employee’s issue is eligible for the ERC process, the ERC representatives shall complete an ERC Issue Resolution Record (IRR) form and include the _____ indicating whether the issue is able to be resolved at the division level.

The IRR shall be faxed or emailed to the ERC section in the _____.

ERC representatives are encouraged to follow an employee’s chain of command whenever possible; however, ERC representatives are not restricted to chain of command rules and shall not be precluded from direct access to division commanders regarding an employee’s ERC issue.

A

1) employee’s division commander’s signature

2) Alternative Dispute Resolution Unit.

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16
Q

EMPLOYEE REPRESENTATIVE COUNCIL (ERC) ISSUES

Exceptions

On rare occasions, certain ERC issues may not conform to the above criteria. These issues shall be addressed on a case-by-case basis at the discretion of…

A

an ERC section supervisor.

17
Q

GRIEVANCE ISSUES

To initiate the grievance process an employee shall proceed directly to the ____.

An ADR grievance coordinator shall screen the issue to determine if it is eligible for resolution via the grievance process.

If the issue is determined to be eligible for the grievance process and is being filed in a timely manner as set forth by applicable statutes, an ____shall be completed and an issue tracking number shall be assigned.

The grievance coordinator shall explain the grievance process to the employee and shall assist the employee in completing the necessary…

See General Order 300-12, Grievance Procedure, for more information.

A

1) ADR Unit.
2) IRF
3) Step I grievance paperwork.

Issue Record Form (IRF). An electronically generated form obtained from the IADCMS used for receiving information related to an issue. The primary functions of this form are to generate issue tracking numbers and initiate the issue resolution process. The IRF template is available on the department’s Intranet Portal if the IADCMS is not available.

18
Q

EMPLOYEE RELATIONS SECTION AND DISCRIMINATION ISSUES

Employee Procedures

When employees have issues alleging any form of prohibited conduct or discrimination (General Order 300-11, Discrimination, Harassment, and Other Prohibited Conduct, Title VII of the Civil Rights Act of 1964, Age Discrimination in Employment Act of 1967 [ADEA], Title 1 Americans with Disabilities Act [ADA] of 1990, the Pregnancy Discrimination Act, or the Genetic Information Nondiscrimination Act of 2008 [GINA], including applicable amendments to
such acts), employees shall…

A

immediately report the issues in accordance with General Order 300-11, Discrimination, Harassment, and Other Prohibited Conduct.

19
Q

EMPLOYEE RELATIONS SECTION AND DISCRIMINATION ISSUES

Supervisor Procedures

Supervisors shall abide by General Order 300-11, Discrimination, Harassment, and Other Prohibited Conduct, when they are advised of any matter that may involve discrimination or harassment.

Supervisors who witness or are advised of misconduct as outlined in General
Order 300-11, Discrimination, Harassment, and Other Prohibited Conduct, shall ensure…

Supervisors shall give employees initiating such issues a copy of the…

Supervisors shall then refer employees to…

A

1) IRFs are generated and transmitted electronically to the Central Intake Office.
2) IAF including the issuing tracking number.
3) CIO and ADR when applicable for further processing.

Issue Record Form (IRF).
Issue Acknowledgement Form (IAF).
Alternative Dispute Resolution (ADR).

20
Q

EARLY WARNING SYSTEM ISSUES

Both classified and civilian employees may be referred to the Early Warning System as outlined in General Order 300-24, Early Warning System.

The Early Warning System Unit supervisor shall be responsible for initiating an…

A

IRF for all Early Warning System issues and transmitting those issues electronically to IAD/CIO.

21
Q

MEDIATION ISSUES

Mediation provides a forum in which an impartial third party, the mediator, assists the disputing parties in…

This promotes…

The process is confidential and nonpunitive.

Mediators include, but are not limited to, trained department employees.

Department issues shall be processed and completed in _____ days or less.

A

1) resolving their conflicts through communication.
2) reconciliation, settlement, understanding, and agreement.
3) 60 calendar

22
Q

MEDIATION ISSUES

Employee Procedures

When employees have issues involving _____and want to promote understanding and reconciliation, they may report the issue to IAD/CIO or ADR in accordance to General Order 300-33, Mediation.

A

miscommunication

Internal Affairs Division/Central Intake Office (IAD/CIO)
Alternative Dispute Resolution (ADR).

23
Q

MEDIATION ISSUES

Supervisor Procedures

IAD/CIO administrative lieutenants and intake sergeants, and the ADR lieutenant are responsible for determining if issues are…

IAD/CIO intake sergeants or ADR shall generate an ____and forward hard and electronic copies to the appropriate unit for further processing.

IAD/CIO intake sergeants or ADR shall give the employee initiating such an issue a copy of the IAF including the issue tracking number.

The assistant chief over ADR has the authority to order a mandatory mediation for…

A

1) appropriate for resolution by the mediation process.
2) IRF
3) issues other than sexual harassment.

Issue Record Form (IRF).

24
Q

SUPERVISORY INTERVENTION (SI) ISSUES

Supervisor Procedures

The _____ governs the use of the SI process. Supervisors shall abide by this manual when processing SI issues.

When a supervisor elects to use the SI process, the supervisor shall have the _____ initiate an IRF and obtain an issue tracking number from the IADCMS.

The intervening supervisor shall inform the party raising the issue of the outcome within _____ days of initiating the IRF and make an entry in the IADCMS
indicating that notice was given.

Supervisory Intervention issues shall be tracked for audit purposes only.

Documentation and files developed during the Supervisory Intervention itself shall be maintained only at the subject employee’s current division.

A

1) Corrective Action Manual
2) shift tracking coordinator
3) 30 calendar

25
Q

INTERNAL AFFAIRS ISSUES

Employee Procedures

All complaints coming to the attention of an employee shall be brought to the attention of the employee’s immediate supervisor who shall…

A

ensure the division commander is notified.

26
Q

INTERNAL AFFAIRS ISSUES

Supervisor Procedures

Class I and II Investigations

Supervisors shall accept and record phone-in complaints if the complaints involve…

Other phone-in complainants shall be advised they need to make the complaint in person so a notarized sworn statement can be obtained or…

Supervisors who receive phone-in complaints regarding allegations of serious misconduct shall immediately make the appropriate notifications, including notifying IAD, as required by this and related General Orders (see section 12).

A

1) allegations of serious misconduct (Class I)

2) mail a notarized statement with specific details of the complaint to IAD/CIO.

27
Q

INTERNAL AFFAIRS ISSUES

Supervisor Procedures

Class I and II Investigations

Supervisors shall obtain sworn statements from _____.

Supervisors shall have their shift tracking coordinators initiate IRFs and transmit them electronically to _____.

A thorough description of the issues shall be included while entering the IRF information into the IADCMS.

Shift tracking coordinators shall then print a copy of the IRFs.

Supervisors who receive issues shall sign the IRFs and send the original to…

If the walk-in complainant refuses to provide a sworn statement, then the supervisor shall make a notation of the refusal on the IRF.

At the time the complaint is received, receiving supervisors shall give all walk-in complainants an IAF including the issue tracking number for the case. Likewise, phone-in complainants shall be provided the information verbally.

A

1) walk-in complainants
2) IAD/CIO immediately
3) CIO immediately.

28
Q

INTERNAL AFFAIRS ISSUES

Supervisor Procedures

Class II (X) (Expedited) Investigations

Supervisors shall refer to the department’s _____ for specifics regarding expedited investigations.

A

Corrective Action Manual

29
Q

INTERNAL AFFAIRS ISSUES

IAD/CIO Procedures

When IRFs are electronically transmitted to IAD/CIO, the IRFs shall be reviewed for completeness and shall be correctly routed according to IAD/CIO’s SOPs and any applicable General Orders.

When complainants contact IAD/CIO directly, intake sergeants shall…

Complainants shall be given an…

IAD/CIO shall review all issues and route them to the appropriate divisions or units for processing.

A

1) conduct interviews and initiate IRFs.

2) IAF including the issue tracking number

30
Q

INTERNAL AFFAIRS ISSUES

Notice of the Nature of the Complaint

IAD/CIO shall provide, in a timely manner, the subject employee with…

A

written notice of the nature of the complaint.

31
Q

ROUTING INVESTIGATIONS

IAD/CIO shall review all lRFs and categorize and route the issues according to criteria set forth in IAD/CIO’s SOPs and any applicable General Orders.

If IAD classifies an issue as a Class I or II investigation, the following shall occur:

Class I Investigations

IAD/CIO shall send the initial investigation packet to the _____ for processing. The IAD lieutenant receiving the packet shall assign it to an investigator using the IADCMS. The IADCMS entry shall be…

A

1) IAD/CIO case manager

2) made by the next business day

32
Q

ROUTING INVESTIGATIONS

IAD/CIO shall review all lRFs and categorize and route the issues according to criteria set forth in IAD/CIO’s SOPs and any applicable General Orders.

If IAD classifies an issue as a Class I or II investigation, the following shall occur:

Class II Investigations

If an issue is classified as a Class II investigation issue or as a Supervisory Intervention issue, it shall be assigned to the _____ for processing.

If the issue is classified as a Class II investigation, that division’s IAD lieutenant shall receive the packet and assign it to an investigator using the IADCMS. These IADCMS entries shall be made by…

A

1) target employee’s division or unit

2) the next business day

33
Q

ROUTING INVESTIGATIONS

Changing an Issue Classification

Once IAD/CIO has entered the initial classification into the IADCMS, only _____ may change the classification of an issue.

Any _____ may consult with the IAD captain in order to seek modification of an issue classification.

A

1) IAD/CIO

2) division commander

34
Q

EVIDENCE

Supervisors shall process any evidence submitted to them in accordance with General Orders and cross-reference the property tag numbers on the…

A

IRFs in the IADCMS.

35
Q

BACK-UP PROCEDURES

Tracking Coordinators Unavailable

If both the shift tracking coordinator and alternate are not available to assist the supervisor receiving the complaint, the supervisor shall contact the _____ to initiate the IRF and tracking process in accordance with this General Order.

The Command Center shall give an _____ to the supervisor.

If the complaint is made in person, the IAF shall be given to the complainant at the time the complaint is received.

If the complaint is accepted by telephone, the information from the IAF shall be given to the complainant at the time the complaint is received.

A

1) Command Center

2) issue tracking number

General Orders 300's (32 decks)

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