300-32 Processing Complaints and Employee Issues

Question 1

Alternative Dispute Resolution (ADR). A department unit assigned the task of processing job-related issues eligible for resolution by one of four separate sections: ______, _______, _______, and _______.

Answer 1

Mediation, Employee Relations, Grievance, and Employee Representative Council.

Question 2

Alternative Dispute Resolution Process. 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 [lAD] issues):

Answer 2

Mediation

Employee Relations

Grievance

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.

Question 3

Division Case Manager

Answer 3

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.

Question 4

Internal Affairs Division Case Management System (lADCMS)

Answer 4

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

Question 5

Issue Acknowledgement Form (lAF).

Answer 5

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.

Question 6

Issue Record Form (lRF).

Answer 6

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.

Question 7

Issue Resolution Record (lRR).

Answer 7

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.

Question 8

Issue Tracking Number.

Answer 8

A tracking number generated by the IADCMS.

This is the reference number provided to the complaining party.

An issue may be re-categorized or rerouted, but the issue tracking number will remain the same.

Question 9

Shift Tracking Coordinators.

Answer 9

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 lAD in writing.

Question 10

IAD/CIO shall initiate an _____ when citizens or employees initially bring an issue to the attention of IAD/CIO.

Answer 10

IRF (Issue Record Form)

Question 11

IAD/CIO shall provide the citizen or employee an _______ 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

Answer 11

issue tracking number

Question 12

Employees and citizens with issues shall be able to begin the process in the appropriate locations where IRFs can be completed and sent electronically to IAD/CIO.

IAD/CIO shall process and categorize all incoming electronic, faxed, or emailed IRFs received from throughout the department.

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

Answer 12

processed the next working day.

Question 13

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

A copy shall be provided to the _____ and a copy shall be _____ or ______immediately to IAD/CIO.

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

Answer 13

handwritten on an IRF.

person, faxed or emailed

appropriate information

Question 14

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.

Answer 14

their divisions’ ERC representatives

non-letterhead correspondence

Question 15

If an employee’s issue is eligible for the ERC process, the ERC representatives shall complete an ERC _________ and include the employee’s division commander’s signature indicating whether the issue is able to be resolved at the division level.

The ____ shall be faxed or emailed to the ERC section in the Alternative Dispute Resolution Unit.

Answer 15

Issue Resolution Record (IRR) form

IRR

Question 16

ERC representatives are encouraged to follow an employee’s chain of command whenever possible; however, _________ 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.

Answer 16

ERC representatives

Question 17

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 an __________.

Answer 17

ERC section supervisor.

Question 18

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

An ______ 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 ________ and ________ shall be assigned.

Answer 18

ADR Unit.

ADR

IRF shall be completed, an issue tracking number

Question 19

The ________ shall explain the grievance process to the employee and shall assist the employee in completing the necessary Step I grievance paperwork.

Answer 19

grievance coordinator

Question 20

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 ________ in accordance with General Order 300-11, Discrimination, Harassment, and Other Prohibited Conduct.

Answer 20

immediately report the issues

Question 21

Supervisors shall ______________ 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 _________ to the Central Intake Office.

Supervisors shall give employees initiating such issues ________ .

Supervisors shall then refer employees to CIO and ADR when applicable for further processing.

Answer 21

abide by General Order 300-11, Discrimination, Harassment, and Other Prohibited Conduct,

ensure IRFs are generated and transmitted electronically

a copy of the IAF including the issuing tracking number

Question 22

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

The _________ shall be responsible for initiating an IRF for all Early Warning System issues and transmitting those issues electronically to IAD/CIO.

Answer 22

Early Warning System Unit supervisor

Question 23

________ provides a forum in which an impartial third party, the mediator, assists the disputing parties in resolving their conflicts through communication.

This promotes reconciliation, settlement, understanding, and agreement. The process is ______ and ______.

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

Department issues shall be processed and completed in __________.

Answer 23

Mediation

confidential and nonpunitive.

Mediators

60 calendar days or less.

Question 24

When employees have issues involving miscommunication and want to promote understanding and reconciliation, they may report the issue to ______ or ______ in accordance to General Order 300-33, Mediation.

Answer 24

IAD/CIO or ADR

Question 25

_______ administrative lieutenants and intake sergeants, and the _____ lieutenant are responsible for determining if issues are appropriate for resolution by the mediation process.

______ intake sergeants or _____ shall generate an IRF and forward hard and electronic copies to the appropriate unit for further processing. _____ intake sergeants or _____ shall give the employee initiating such an issue a copy of the IAF including the issue tracking number.

The assistant chief over has the authority to order a mandatory mediation for issues other than sexual harassment.

Answer 25

IAD/CIO, ADR

IAD/CIO ,ADR

ADR

Question 26

The ______ governs the use of the SI process. Supervisors shall abide ______when processing SI issues.

Answer 26

Corrective Action Manual

by this manual

Question 27

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 ______.

Answer 27

shift tracking coordinator, IADCMS.

Question 28

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

Answer 28

30 calendar days

Question 29

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 _________.

Answer 29

subject employee’s current division.

Question 30

Supervisors shall accept and record phone-in complaints if the complaints ___________.

Other phone-in complainants shall be advised they need to make the complaint in person so a _______________.

Supervisors who receive phone-in complaints regarding allegations of serious misconduct shall _______________ as required by this and related General Orders (see section 12).

Answer 30

involve allegations of serious misconduct (Class I).

notarized sworn statement can be obtained or mail a notarized statement with specific details of the complaint to IAD/CIO.

immediately make the appropriate notifications, including notifying lAD,

Question 31

Supervisors shall obtain _______ from walk-in complainants.

Supervisors shall have their shift tracking coordinators ___________.

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

Shift tracking coordinators shall then print a copy of the IRFs. Supervisors who receive issues shall sign the IRFs and send the original to CIO immediately.

If the walk-in complainant refuses to provide a sworn statement, then the supervisor shall _______.

Answer 31

sworn statements

initiate IRFs and transmit them electronically to IAD/CIO immediately.

IADCMS.

make a notation of the refusal on the IRF.

Question 32

At the time the complaint is received, receiving supervisors shall give all walk-in complainants an __________.

Likewise, phone-in complainants shall be provided the information _________.

Answer 32

IAF including the issue tracking number for the case.

verbally.

Question 33

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

Answer 33

Corrective Action Manual

Question 34

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

If the issue is classified as a Class II investigation, ________________. These IADCMS entries shall be made by the next business day.

Answer 34

target employee’s division or unit for processing.

that division’s lAD lieutenant shall receive the packet and assign it to an investigator using the IADCMS.

Question 35

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

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

Answer 35

IAD/CIO

division commander

Question 36

Supervisors shall process any evidence submitted to them in accordance with ________ and _________ on the IRFs in the IADCMS.

Answer 36

General Orders and cross-reference the property tag numbers

Question 37

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

________shall give an issue tracking number to the supervisor.

Answer 37

the Command Center