HPM 10.04 Citizens' Complaint Investigations

Question 1

What are three methods a citizen can complain to the Department?

Answer 1

Verbally, in writing, or in person.

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Question 2

Commanders (may/should/shall) consider releasing the investigator from routine tasks while conducting complex or sensitive investigations.

Answer 2

Should.

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Question 3

What is the Department’s philosophy on citizen’s complaints?

Answer 3

1) It is the policy of this Department that the citizens’ complaint process be utilized as a management tool to provide the highest level of public service.
2) complaints shall be investigated objectively, supporting employees when allegations are proven invalid, and taking corrective action when necessary.

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Question 4

True or False

It is required by law that the complainant will be notified of potential criminal and/or civil penalties for filing false or malicious complaints against peace officers.

Answer 4

True

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Question 5

What are the 3 classifications of complaints?

Answer 5

Category I, Category II, and “Other”

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Question 6

What do the 3 different complaint classifications reflect?

Answer 6

The documentation format and level of review required by the Department.

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Question 7

Who decides the classification of each complaint?

Answer 7

The commander, based off of the most serious allegation made.

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Question 8

What allegations justify a Category I complaint?

Answer 8

-Physical contact
-Excessive force
-Criminal, racial, sexual, or immoral conduct
-Dishonesty
-Falsification of documentation
-Unethical conduct

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Question 9

What allegations justify a Category II complaint?

Answer 9

-verbal misconduct
-nonverbal misconduct (not involving physical contact)
-complaints regarding matters not related to an employee’s conduct

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Question 10

What allegations justify an “Other” complaint?

Answer 10

(DCRF) Dave Cheats Rather Frequently
- Departmental complaint
- Citation Validity complaint (if this is the sole allegation)
- Rescinded complaint
- Frivolous complaint

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Question 11

What are non-complaints?

Answer 11

Issues brought to the attention of the Department which are not normally considered citizens’ complaints.
-Traffic
-Vehicle storage/impound validity
-Other agency
-Off-duty conduct

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Question 12

How many findings will a complaint investigation have, and what are they?

Answer 12

There are 5 findings, in order of severity: (SUUDE)
(1) Sustained - The act (or omission) did occur, and it is deemed improper.
(2) Unintentional Error - The act (or omission) did occur and it is deemed
improper, but was the result of an employee’s honest mistake.
(3) Undetermined/No Finding - Used only when the evidence, or lack thereof,
precludes the investigator from making a definitive judgment.
(4) Departmental - Used when the employee’s actions are fully in compliance with Department policy and/or procedure, but the policy or procedure itself is found to be erroneous or is the cause of the complainant’s concerns. Departmental is also the only allowable finding for Departmental complaints.
(5) Exonerated - The employee did not commit the act (or omission), or did
commit the act and it is deemed to be proper or within Department policy.

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Question 13

True or False
For a departmental allegation/complaint, “Department” shall be listed as the employee on the CHP 240, Complaint Investigation face page.

Answer 13

True.

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Question 14

A complaint in which the complainant, after having initiated the complaint process, specifically requests to withdraw all of the allegations. This is the definition of what type of complaint?

Answer 14

Rescinded complaint.

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Question 15

True or False
A complainant’s request to rescind a complaint relieves the commander from the responsibility to determine the validity of the allegations.

Answer 15

False.

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Question 16

A complaint which is totally and completely without merit, or which is filed for the sole purpose of harassing an employee. This includes complaints which are questionable or irrational. This is the definition of what type of complaint?

Answer 16

Frivolous complaint.

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Question 17

An expression of dissatisfaction, made verbally or in writing, concerning departmental policies/procedures or alleging improper conduct by an employee of this Department. This is the definition of what?

Answer 17

A complaint.

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Question 18

An allegation which is solely against a Department policy or procedure, and NO employee misconduct is alleged.

Answer 18

a Departmental allegation/complaint.

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Question 19

This form is intended to be the primary
instrument for citizens to file complaints against uniformed (peace officer) employees,
while also informing complainants about the complaint process.

Answer 19

CHP 240B, Citizens’ Complaint Information.

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Question 20

This form is intended to be the primary instrument for citizens to file complaints against non-uniformed (non-peace officer) employees, while also informing complainants about the complaint process.

Answer 20

CHP 240D, Citizens’ Complaint Information (Non Uniformed).

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Question 21

All complainants shall be acknowledged by correspondence within how many days of the Department’s notification of the complaint.

Answer 21

Five (5) business days.

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Question 22

The complainant shall be requested to return the CHP 240B or CHP 240D within how many days.

Answer 22

Ten (10) business days.

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Question 23

Other Agency. If the complaint is determined to be against an allied law enforcement agency or its personnel, how is the matter processed? What is the responsibility of the commander?

Answer 23

Provide correspondence to the complainant advising that his/her concerns should be directed to the appropriate agency. The commander shall also forward all pertinent information received from the complainant or gathered by this Department, to the allied agency.

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Question 24

Third Party. If the complaint is from a third party, how is the matter processed? What is the responsibility of the commander?

Answer 24

Send the inquiring party correspondence acknowledging receipt of their concerns and informing them that the allegedly aggrieved party will be contacted directly. The command shall then contact the complainant directly to ascertain their intentions, normally with a requested turnaround period of 30 days.

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Question 25

In what circumstance would a complaint alleging off-duty conduct be investigated?

Answer 25

Such investigations shall be restricted to instances were a clear connection or nexus to employment by this Department has been made by the employee. However, the fact the allegedly aggrieved party is simply aware of the employee’s position does not alone provide a nexus to the Department.

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Question 26

Can departmental employees use the Citizen’s Complaint process to complain against other employees?

Answer 26

No. The citizens’ complaint process is intended to afford the public an avenue to voice concerns. Since other processes are available for Department employees to voice concerns regarding employee conduct, the citizens’ complaint process SHALL NOT be utilized to document internal complaints or grievances.

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Question 27

If a complainant expresses a desire to remain confidential, how shall the Department honor the request?

Answer 27

He/she shall be informed that the Department will attempt to honor their request to the greatest extent possible.
However, an employee has the right to review a complaint upon completion (pursuant to Government Code §3305) and uniformed employees have the right to file a civil claim against a complainant (pursuant to Civil Code §47.5)
The complainant shall be advised of these legal requirements.

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Question 28

How is primary responsibility determined regarding which command investigates a citizen’s complaint?

Answer 28

The responsibility to investigate a citizen’s complaint rests with the current commander of the Area/Section to which the involved employee was assigned at the time the incident occurred. However, Division commanders may assign personnel of their choice to investigate any complaint within their respective Division and may also request resources from BIA.

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Question 29

__________ shall assign a primary investigator in a timely manner. The assigned primary investigator (may/should/shall) be at least one grade higher than the involved employee, unless otherwise approved by the Division commander or appropriate Assistant Commissioner.

Answer 29

The commander / Shall

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Question 30

The primary investigator (may/should/shall) not be a party or witness to the incident in question.

Answer 30

Should

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Question 31

________ is responsible for ensuring all investigations are completed in a timely manner. The normal suspense period for complaints received at the command, or forwarded from BIA, is ________ days. The suspense period for
legislative complaints is ________ days.

Answer 31

The commander / Sixty (60) / thirty (30)

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Question 32

Academy Training. Citizens’ complaints which originate while an employee is in
training at the Academy will be the responsibility of ________ (which command). The
investigation and any subsequent corrective action will be coordinated directly with ________ (which command).

Answer 32

The Academy commander / the employee’s permanent commander.

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Question 33

Special Assignments. Occasionally, employees will be assigned to special programs that remove them from direct Department supervision (i.e., CAMP, drug/vehicle theft task forces). Citizens’ complaints arising from such assignments remain the responsibility of which commander?

Answer 33

The employee’s departmental commander.
-Commanders shall develop a Memorandum of Understanding (MOU) with the agencies involved in regards to citizens’ complaints.
-In no event shall the responsibility for conducting citizens’ complaint investigations initiated against employees of this Department be relinquished to any outside agency

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Question 34

Temporary Assignments. Citizens’ complaints which originate while an employee is working a temporary assignment within the Department, such as a Protective Services Detail, Motor Carrier Inspection Program, watch officer, etc., remain the responsibility of which commander?

Answer 34

The employee’s permanent commander

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Question 35

Multi-Command Investigations. When an investigation involves multiple employees assigned to different commands, which command shall be appointed as the primary investigative command?

Answer 35

The command with the employee who has the most severe allegations, or the command with the greatest number of employees named in the complaint.

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Question 36

ADDITION OF EMPLOYEES. What happens if during an investigation it is determined the misconduct alleged is not the responsibility of the employee named by the complainant, but by another employee?

Answer 36

The original employee named by the complainant would be Exonerated, and the employee determined as the cause for the allegation of misconduct is added to the complaint, with the appropriate finding (unintentional error, sustained, etc.)

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Question 37

All complaints with allegations of criminal misconduct which have been given a finding of Sustained or Unintentional Error shall be referred to who/where?

Answer 37

They shall be referred to the respective prosecuting district attorney’s office for review.

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Question 38

Should the facts of an investigation indicate that a request for Adverse Action against an employee will be sought, what is done with the complaint investigation?

Answer 38

The complaint investigation shall be completed in it’s entirety, then become an exhibit in the separate Adverse Action package.

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Question 39

How many findings can each allegation have?

Answer 39

Each allegation shall have only one finding, even if several instances of that specific allegation are alleged. That is, separate acts of the same alleged misconduct will be combined into a single allegation.

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Question 40

True or False
Rescinded/Frivolous Complaints. By definition, these type of complaints will not have a finding as both are considered to be without merit.

Answer 40

True.

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Question 41

True or False
Commanders may elect to accept or decline the request to rescind a complaint.

Answer 41

True.

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Question 42

The Bazemore admonition shall be included in which memorandums?

Answer 42

The Bazemore admonition shall be included in all Memorandums of Findings or Direction which are counseling or remedial in nature.

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Question 43

True or False
The Bazemore admonition may be included in any CHP 2.

Answer 43

False; the Bazemore admonition shall not be included in any CHP 2.

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Question 44

True or False
In instances where corrective documentation is issued solely as a result of Unintentional Error, the Bazemore shall not be included.

Answer 44

False; The inclusion of the Bazemore admonition should be left to the discretion of the commander.

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Question 45

Any employee covered under the Public Safety Officers Procedural Bill of Rights (POBR) has the right to submit a written response within ________ to any adverse comment entered into his/her personnel file.

Answer 45

Thirty (30) days.

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Question 46

True or False
A commander may issue closing documentation to an employee from any complaint investigation.

Answer 46

True.
Ex. The commander issues a Memorandum of Findings which contains a statement advising the officer that she should be more cognizant of potential conflicts in her contacts with the public, and recommending that she consider using an audio tape recorder in the future.

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Question 47

After the complaint investigation has been approved, does the employee get the opportunity to review the investigation?

Answer 47

Yes.

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Question 48

Once a complaint has been approved at Division level, or Area level (as required), what happens if an employee refuses to sign the CHP 240 form?

Answer 48

The supervisor shall note the refusal to sign in the employee signature block. If practical, an additional supervisor should act as witness, and note as such in employee signature block.

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Question 49

In response to a complaint investigation or corrective/closing documentation, an employee covered under POBR can submit a rebuttal within how many days?

Answer 49

Per Government Code 3306, such a rebuttal must be written and received by the Department within thirty (30) days.

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Question 50

Corrective documentation issued to an employee may only refer to allegations with which two findings, shall be placed in the employee’s field personnel folder.

Answer 50

Allegations of Sustained or Unintentional Error.

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Question 51

Category I, Category II, and Other complaints shall be destroyed after a period _____ years, commencing from _____.

Answer 51

Five (5) years; commencing from original date the Department received the complaint.

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Question 52

Any corrective documentation issued to an employee as the result of a complaint investigation, shall be removed from the employee’s field personnel folder after a period of _____ years, commencing from _____.

Answer 52

Three (3); the date of issue.

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Question 53

Responses submitted by employees as a result of a complaint or corrective action shall be retained for how long?

Answer 53

The life of the document with which it has been filed.

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Question 54

The CHP 240A shall be maintained by local commands for a period of _____.

Answer 54

Five (5) years.

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Question 55

Noninvolved Departmental Employees. Are they entitled to copies of Complaint Investigations?

Answer 55

Complaint investigation files, or portions thereof, shall only be released to noninvolved employees who require such information during the course of their duties.

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