HPM 10.4

Question 1

What are the three categories of Citizen Complaints?

Answer 1

Cat 1
Cat 2
Other

Question 2

What is a Cat 1 complaint?

Answer 2

Complaints alleging physical contact, excessive force, and/or criminal, racial, sexual, or immoral conduct. Category I complaints also include those which allege acts of dishonesty and/or falsification of documentation, or allegations of unethical conduct.

Question 3

What is a Cat 2 complaint?

Answer 3

Complaints alleging verbal misconduct, nonverbal misconduct (not involving actual physical contact), and/or complaints regarding matters not related to an employee’s conduct.

Question 4

What is an “other” complaint?

Answer 4

Complaints which may contain Category I or II allegations as outlined above, but which also meet the definition of one of the following types of complaints, as defined in this chapter: Departmental complaint, Citation Validity complaint, Rescinded complaint, Frivolous complaint

Question 5

What are the 5 possible findings of a Citizen’s Complaint?

Answer 5

1. Sustained
2. Unintentional error
3. Undetermined / No finding
4. Departmental
5. Exonerated

Question 6

Citation validity is normally classified as what category of complaint?

Answer 6

Normally a Category II complaint, a citation validity allegation may be processed as an ‘Other’ complaint if there are no other allegations by the complainant.

Question 7

Which form is provided to a citizen who wishes to file a complaint? Uniformed and non-uniformed?

How many days do they have to return it?

Answer 7

CHP 240B
CHP 240D
10 business days

Question 8

All complainants (CC) shall be acknowledged by correspondence within ____ business days and normally signed by _______.

Answer 8

5 / Commander

Not normally required if the complainant contacted the Department in person.

Question 9

The commander 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.

Answer 9

60

Question 10

If a complaint involves officers from more than one command, who should be the primary investigator?

Answer 10

The area with the employee with the most serious allegation or the command with the greatest number of employees involved.

Question 11

Planning is a key element for a successful investigation. What are initial steps an investigator should do when getting assigned a citizens’ complaint investigation?

Answer 11

1. Meet with the commander
2. Begin chronological log required for Cat 1)
3. Establish investigative file
4. Clarify allegations

Question 12

There are generally three basic steps in the investigative process for citizen complaints. What are they?

Answer 12

1. Determine the questions (needed to be answered for investigation)
2. Determine the answers (what do you need answered, this may come in the form of physical evidence)
3. Document the results

Question 13

Normally an employee does not have the right to representation when being interviewed for a citizen complaint. What is the exception?

Answer 13

If the complaint investigation is of a serious
nature, and/or the facts indicate adverse action may reasonably result, the employee shall be afforded the right to representation. Before refusing a request, contact OER.

Question 14

Keeping in mind POBR, when can an employee be asked to draft a memo during a citizen complaint investigation?

Answer 14

1. After the interview has been completed to clarify specific questions
2. When provided a written interrogatory and afforded representation

Question 15

Can an investigator record the interview with an employee during a citizen complaint investigation?

Can a complainant/witness record and interview with the investigator?

Answer 15

Only with the permission of the employee.

Yes, but the investigator shall also record it.

Question 16

____ complaints with allegations of criminal misconduct which have been given a finding of _______or _______ _______ shall be referred to the respective prosecuting district attorney’s office for review.

Answer 16

All

Sustained or Unintentional error

Question 17

To obtain a finding for a citizen complain investigation. The investigation must show ?

Preponderance of evidence or probable cause to sustain or exonerate

Answer 17

Preponderance of evidence

Question 18

What are the maximum amount of findings (i.e. sustained, exonerated,……) you can have per an allegation in a citizen complaint investigation.

Answer 18

One

Question 19

If a complainant choses to rescind a complaint, the commander should tell the investigator to discontinue the investigation.

True or False

Answer 19

False. Commanders may elect to accept or decline base on the circumstances. If rescinded a closing correspondence is still required.

Question 20

Closing correspondence shall be sent within ___ days of the investigation being approved.

Answer 20

30 days.

Question 21

Corrective action (for sustained and unintentional error) to the employee for a citizen complaint shall be in written form. The commander shall use one of the following based on the severity of the allegation (name 4):

Answer 21

(a) Request for Adverse Action.
(b) CHP 2, Incident Report (Censurable).
(c) Memorandum of Direction.
(d) Memorandum of Findings.

Question 22

The ___________ admonition shall be included in all Memorandums of Findings or Direction. In instances where the corrective documentation is being issued solely as a result of a finding of Unintentional Error, the inclusion of the __________ admonition should be left
to the discretion of the commander.

Answer 22

Bazemore.

Question 23

If s/he chooses, can a commander issue closing documentation to an employee for a finding of undetermined/no finding and include the Bazemore admonition?

Answer 23

Yes

Question 24

Closing documentation requiring a Governor or legislative response. Who prepares it?

Answer 24

Prepared by the command with coordination of the Office of Special Reps. If some circumstances it should come from BIA.

Question 25

Who is the final approval for Cat 1, Cat 2 and Other complaints?

Answer 25

Cat 1: Division Commander or designee
Cat 2: Generally Area Commander
Other: handled by which category they initially fell into (i.e. Cat 1 or Cat 2).

Question 26

The employee shall be provided the opportunity to review the investigation in its entirety, except for any _______ specifically marked in the “List of ______” as not releasable to the employee reviewing the complaint.

Answer 26

Exhibit
Exhibits

Includes medical forms, financial records, complainant if listed as confidential

Question 27

A copy of the corrective action may only be placed in the employees personnel file if there was a finding of ___________ or ______________.

Answer 27

Sustained or unintentional error

Employees response, if completed, will also be in the personnel file.

Question 28

Re: Complaint Investigation file: Category I, Category II, and Other complaints shall be destroyed after a period of _____ years, commencing from the date the Department originally received the complaint.

Answer 28

5

Includes employee response

Question 29

Re: Corrective Documentation: 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
the date of issue.

Answer 29

3

Includes employee response

Question 30

What happens to the copy of the complaint in the area Complaint File when the employee transfers to another command?

Answer 30

Goes with the employee to the new command.

Question 31

Can a commander release a complaint investigation file to the Attorney General?

Answer 31

Yes, when they are defending the Department or its employees. Coordinate with Legal Coordination Unit.

Anyone else needs a subpoena or court order

Question 32

Grand Juries: Any request for complaint records or interviews with departmental
employees shall be coordinated with _____________.

Answer 32

BIA and the Legal Coordination Unit.

Question 33

If the complainant is not satisfied with the results of the investigation, who shall conduct a separate complaint review?

Answer 33

The succeeding level of command.

A Division level review shall be conducted when a complainant is not satisfied with an investigation conducted by an Area command. If still not satisfies then a BIA review.